Zhao Jiping’s Film Score in Yellow Earth (1984): Constructing and Subverting Perceptions of

Diegetic Boundaries

Justin Munger

A thesis submitted in partial fulfillment of the requirements for the

Master’s degree in Musicology

School of Music

Faculty of Arts

University of Ottawa

© Justin Munger, Ottawa, Canada, 2022

ii

Abstract

This thesis examines how Zhao Jiping’s film score in Yellow Earth (1984) establishes distinct

identities for the diegetic and non-diegetic (presentational) space, as well as how Zhao manipulates

the audience’s perception of musical-spatial boundaries in order to create moments of musical

significance during the “river scenes.” To model the diegesis, I use a perception model approach

combined with work by Winters and Yacavone. This frames the diegesis in relation to reality,

without being beholden to it, and attributes to the audience an active role in constructing the

diegesis, internally and subjectively expanding on fragments presented by the film. I then

characterize the music of the diegesis as being representative of the Shaanbei region of China,

using folk singing and instruments indigenous to the region. The music of the presentational space

uses melodic material derived from the diegetic music, supported by orchestral music in a style

similar to mixed instrument ensembles in Model Works. During the “river scenes”, Zhao’s music

gradually detaches the audience’s sense of anchoring in the diegetic space and pivots into the

presentational space, creating an intense contrast that supports the narrative significance of the

scene. Afterwards, similar techniques are then used to gradually re-anchor the audience back into

the diegesis. Using models of the diegetic and presentational spaces that incorporate recent shifts

in academic perspective, this thesis demonstrates Zhao Jiping’s nuanced understanding of how an

audience perceives musical space, both by creating distinct identities for the diegetic and

presentational spaces, and by manipulating audience perception of space in order to create

moments of musical significance.

iii

Acknowledgments

This thesis was begun at almost the exact same time as a global pandemic, and has been

written entirely from home, much of it in various lockdowns. Without the support of those

around me, I don’t know how I could have possibly managed to finish this.

First, I want to acknowledge the Social Sciences and Humanities Research Council,

who’s funding through the CGS-Master’s grant allowed me the freedom and flexibility to pursue

my research to the best of my abilities.

I want to thank my supervisor, Dr. Christopher Moore, who supported me and pushed me

to be critical of my work, all without ever putting undue stress on me. Thank you for being so

understanding with deadlines, extensions, and the rollercoaster state of my mental health trying

to write a thesis during a global pandemic.

I also want to thank Dr. Sufeng Xu. She taught me three years of Mandarin at the

University of Ottawa, as well as multiple seminars, and every class I’ve taken with her has had a

huge influence on my research and my academic perspective. She has also been so incredibly

supportive of me on a personal level, and has pushed me to further myself in my academics and

my career. Thank you for working so hard as an administrator, professor, and mentor, and thank

you for being so supportive of me and so many other students.

I want to thank my Mum and my Dad, who have both supported me in every way

possible since I began this thesis. They have been there for me whenever I needed them, always

ready to grab a coffee with me, to listen to me talk their ear off about my research, or just spend

iv

time together. Their advice and support, all while also giving me personal space and time to

myself when I needed it, made writing this possible.

Finally, I want to thank Bri, Dana, Mark, Maude, and Tristan, my roommates for so much

of this thesis. We all managed to stay sane during covid together, and although we don’t all live

together anymore, I still miss you and I could never have kept this thesis going without the love,

support, laughs, and creative stimulation from all of you.

v

Table of Contents

Introduction ……………………………………………………………………………………… 1

Chapter 1: Literature Review ……………………………………………………………………. 6

Chapter 2: Framework …………………………………………………………………………. 17

Chapter 3: Methodology ……………………………………………………………………….. 29

Chapter 4: Yellow Earth (1984) ………………………………………………………………... 38

Chapter 5: Conclusion …………………………………………………………………………. 62

Bibliography …………………………………………………………………………………… 65

1

Introduction

Yellow Earth (黃土地), directed by Chen Kaige (陳凱歌), was released in 1984 to a diverse

array of responses from domestic Chinese audiences and international audiences alike.1,2 While

the film had difficulty attracting critical praise in China following its initial release (although it

had little difficulty attracting critical attention), international audiences quickly praised the film as

being one of the most significant films to emerge from China since the 1940s.3 Chen Kaige’s

reputation as an up and coming director began to pick up pace following the release of Yellow

Earth, but his career was not the only one that benefited significantly from the film. Zhang Yimou

(張藝謀), later famous for directing films such as Red Sorghum (紅高粱), Raise the Red Lantern

(大紅燈籠高高挂), Ju Dou (菊豆), and many others, was in charge of the cinematography for

Yellow Earth, which received significant praise for the camerawork.4

Another figure for whom Yellow Earth was an important beginning was the film score

composer, Zhao Jiping (趙季平). Beginning with Yellow Earth, Zhao Jiping would go on to score

dozens of films released in China, most famously in frequent collaboration with Zhang Yimou.5

However, despite Zhao Jiping’s role in scoring music for some of the most critically acclaimed

Chinese films of the 1980s and 1990s, his scores have received very little attention or discussion

1 I am writing Chinese names, titles, and other proper nouns using both the pinyin system of romanization (absent

tones), and traditional Chinese characters. Exceptions are made for some authors of works which are written with

alternate spelling systems, such as the Wade-Giles system, due to some individuals preferring this system for personal

romanizations. 2 McDougall, Bonnie. The Yellow Earth: A film by Chen Kaige with a Complete Translation of the Filmscript. Hong

Kong: The Chinese University Press, 1991. Mcdougall provides one of the few documentations of domestic and

international responses to the film, both in the immediate period following release and in the subsequent years. 3 McDougall, vii. 4 McDougall, 111. 5 Xiao,Ying. “The Convergence of Popular Music-Film: Zhang Yimou-Zhao Jiping and Spectacles of Sound.” In

China in the Mix: Cinema, Sound, and Popular Culture in the Age of Globalization. Jackson: University Press of

Mississippi, 52; Ng, Yvonne. “Imagery and Sound in Red Sorghum.” KINEMA, spring (1995); Thompson, Brian C.

“Zhao Jiping and the Sound of Resistance in Red Sorghum.” Studio Musicologica 56, no.4 (2015): 356.

2

in English-language academic or popular literature. Only a couple English-language publications

exist which discuss Zhao Jiping’s musical scores, and they tend to focus on individual films instead

of taking broader looks at Zhao’s compositions.6

It is especially surprising to see the lack of discussion on the music of Zhao Jiping when

considering the success (both critically and popularly) of the films on which he has worked.

Furthermore, the films themselves, such as Red Sorghum or Farewell My Concubine (霸王別姬),

have been discussed at length in academic literature in regards to other topics.7 Films that Zhao

Jiping has scored have received awards at international film festivals, and have been instrumental

and impactful films when considering the development of China’s domestic and international

reputation for film, and yet Zhao Jiping himself is relatively unknown in comparison to the

directors of the films on which he’s worked.8 Considering the historical, artistic, and socio-

political importance of these films, Zhao Jiping’s scores deserve attention and consideration in the

manner that other elements of the films have received.

In Yellow Earth Zhao Jiping composes a score which interacts with, and subverts, the

audience’s perception of musical space. These spaces, the diegetic and the non-diegetic, are each

given distinct and contrasting musical characterizations that clearly distinguish them from each

other. The diegetic space is scored to reflect the realism of the film’s diegesis, using instruments

and styles endemic to the real-world time and place in which the diegesis is set.9 The non-diegetic

6 English-language publications focus most heavily on Zhao Jiping’s compositions for Red Sorghum (1987). See Ng;

Thompson. 7 To list all discussions in other fields would be impossible. However, discussions frequently focus on Zhang Yimou’s

cinematography, depictions of women and other themes regarding gender, and political and ideological messaging or

undertones in relation to contemporary political climates in mainland China in the 20th century. 8 Evidenced by a paucity of English-language publications mentioning Zhao Jiping by name, the popular encyclopedia

Wikipedia having a three sentence entry for Zhao Jiping, and the conspicuous absence of Zhao Jiping’s contributions

to Chinese music in reference books such as Liu, Ching-chih. A Critical History of New Music in China. Translated

by Caroline Mason. Hong Kong: The Chinese University Press, 2010. 9 Shaanbei (陝北), northern region of Shaanxi (陝西) province, 1939

3

space is scored with music that derives its melodic content from the diegesis, borrowing

instrumentation, melody, or both, frequently accompanied by full orchestral scoring to provide

textural and harmonic support. These characterizations of the spaces, and the relationships between

them, reflect Zhao Jiping’s personal biography and values, in addition to reflecting more widely

held values both socially and culturally during the period in which Yellow Earth was produced and

released.

While Zhao Jiping carefully characterizes and delineates separate identities for the musical

spaces, he also obfuscates perceptions of boundaries between the two spaces. At narratively crucial

moments of Yellow Earth, Zhao actively shifts the audience’s sense of distinctly separate musical

spaces by moving music in and out of the diegetic and non-diegetic spaces, creating dramatic

contrast which coincides with the narrative. This creative play and experimentation demonstrates

a nuanced understanding of the musical-spatial boundaries in the minds of the audience, and

recognizes that by creating distinct and contrasting musical spaces, boundary lines can be

established and then manipulated to create musically significant moments.

Zhao Jiping’s score in Yellow Earth is intimately enmeshed within the film, engaging

heavily with the diegesis while remaining aware of the audience, engaging with their expectations,

understanding, and experience in a dynamic and empathetic manner. It creates distinct and separate

musical spaces, at times even forming a sense of rigid separation, but then makes the boundaries

between spaces fluid as it moves between them, the music sharing melodic material and voices

across the spatial boundaries. In the relationship between musical spaces, the film score

emphasizes depictions of realism and human experience by fore fronting the lives of the common

people.10 Zhao Jiping’s score for Yellow Earth is an integral part of how the film is experienced,

10 The importance of these themes appear in the few biographical documents available regarding Zhao Jiping. See

Miller, Allan. Zhao Jiping. Directed by Allan Miller. 1996. Paris: Les Filmes d’Ici, 2021. DVD. Renwu “Wei shidai

4

and its impact on the audience cannot ever fully be detangled from the film experience at large.

Considering the existing discussions of Yellow Earth, and with the important influence Yellow

Earth had on both domestic and international audiences and critics, Zhao Jiping’s score deserves

consideration, investigation, and discussion similar to the attention other facets of the film have

received.

Zhao’s score in Yellow Earth is comprised of musically distinct diegetic and non-diegetic

spaces, and despite clear differences between the characters of the spaces, there is significant

artistic play in how Zhao engages with the boundaries between the spaces. In my research, I

construct a preliminary understanding of the diegetic setting in order to place instances of diegetic

music, and then proceed to place non-diegetic music by identifying their location outside of the

diegesis relative to the diegetic music. After having categorized and located the diegetic and non-

diegetic music, I characterize the music of the spaces. The music of the diegetic space is comprised

of indigenous folk singing from Shaanbei as well as “northwest wind” music (usually in the form

of chuishou [吹手] ensembles or extensive use of the suona [嗩呐]).11,12 Music of the non-diegetic

space is comprised of melodic material derived in part from the diegesis (usually folk singing or

suona), combined with European orchestral scoring. This mixing of Chinese and European

instruments is similar to the mixed instrument ensembles used when scoring Model Operas during

the Cultural Revolution, a style formalized by Yu Huiyong (于會泳).13 Having identified and

er ge Zhao Jiping.”《人物》. “為時代而歌 趙季平.” (《People》”Songs for the Times, Zhao Jiping”) Aired

September 5, 2015. CCTV, 2015. Accessed January 28, 2022.

https://tv.cctv.com/2015/09/05/VIDE1441385643980301.shtml 11 For further information on the phenomena of “northwest wind” as a musical stylistic trend in late 20th century

Chinese film music, see Xiao, Ying. “Northwest Wind: Folklore, Vernacular, and the Chinese New Waves.” In China

in the Mix: Cinema, Sound, and Popular Culture in the Age of Globalization. Jackson: University Press of Mississippi,

18. 12 For further information on the music of the Shaanbei region more specifically, as well as chuishou ensembles and

the suona, see Jones, Stephen. Ritual and Music of North China, Volume 2: Shaanbei. New York: Routledge, 2016. 13 Fan, Xing. Staging Revolution: Artistry and Aesthetics in Model Beijing Opera during the Cultural Revolution.

Hong Kong: Hong Kong University Press, 2018: 160; Kraus, Richard. “Arts Policies of the Cultural Revolution: The

5

characterized the diegetic and non-diegetic music, I then demonstrate how Zhao Jiping uses the

shared material between spaces as a pivot on which to create a dramatic shift in perceived musical

location during the riverbank scenes. Zhao’s score in Yellow Earth engages extensively with the

audience’s sense of musical spaces by giving both distinct musical characters to each the diegetic

and non-diegetic spaces, as well as dramatically shifting between the spaces at moments of

narrative and emotional climax.

Rise and Fall of Culture Minister Yu Huiyong.” In New Perspectives on the Cultural Revolution, edited by William

A. Joseph, Christine P. W. Wong, and David Zweig, 119-241. Boston: Harvard University, 1991.

6

Chapter 1: Literature Review

Claudia Gorbman’s Unheard Melodies

Discussions in film music literature regarding diegetic and non-diegetic music usually trace

their roots back to Gorbman’s 1987 publication Unheard Melodies.14 In it, Gorbman draws on

Genette’s and Souriau’s definitions of the diegesis, identifying the diegesis as being the

“narratively implied spatiotemporal world of the actions and characters.”15 Gorbman builds on this

definition by considering the implications of how such a world would be constructed and

interpreted by onlookers, what role film music might play in the construction of said world, and

how music might be considered within it or outside of it. Gorbman introduces ideas of diegetic

music (music located within the diegesis) and non-diegetic music (music located outside the

diegesis), but wastes no time complicating the categories by questioning understandings of

boundary delineations, definitions, terminology, and other elements.16 The concepts of diegetic

and non-diegetic music, from the moment they enter into the discussion at large with Gorbman’s

publication, have had visible contradictions and irregularities that have provided fertile ground for

subsequent discussions and publications.17

Unheard Melodies also discusses critical ideas regarding the definition, and the role of, the

soundtrack in a film. Gorbman examines at length how music can provide emotional guidance for

the audience, engaging with musical codes to induce particular reactions.18 Additionally, there is

exploration of a more inclusive understanding of what constitutes the soundtrack of a film.

14 Gorbman, Claudia. Unheard Melodies. Bloomington, Indiana: Indiana University Press, 1987. 15 Gorbman, 21. 16 Gorbman, 20-30. 17 Hardly a single publication on the topic of diegetic and non-diegetic music exists without mention of Gorbman’s

contributions to the discussion. 18 Gorbman, 13.

7

Gorbman explores the idea of film music as sound, and draws parallels between sound design,

audio production, and film music, and even considers the important role of silence in film.19 These

ideas of a more expansive and inclusive concept of a soundtrack anticipate a major shift that occurs

in some areas of the film music literature.20

Across a variety of topics, Gorbman plants the seeds of multiple questions relevant to my

research. Unheard Melodies begins to examine pertinent issues such as the role music plays in

establishing an understanding of the diegesis, the subjective and perceptual role the audience plays

in constructing the film diegesis, and critically investigating what audio elements constitute the

soundtrack. Gorbman begins discussions on a variety of topics, which when elaborated on by

subsequent publications by additional authors, form integral parts of my theoretical framework.

Michel Chion’s Audio-Vision

Another arguably foundational publication for understanding diegetic and non-diegetic

music is Chion’s Audio-Vision: Sound on Screen in 1994.21 This publication covers an expansive

number of topics relating to sound in film, with concepts relating to diegetic and non-diegetic

music being only one of the ideas discussed. In regards to diegetic and non-diegetic music, Chion

emphasizes the importance of visual and audio interplay in shaping the audience’s perceptual

understanding of the diegesis, as well as their perception of where music is located within the

film.22 Chion incorporates important cognitive psychological elements such as the spatialization

of sound and the biological imperative to be able to locate sound, as well as our innate ability to

19 Gorbman, 18. 20 For a recent example see Kulezic-Wilson, Danielja. Sound Design is the New Score: Theory, Aesthetics, and Erotics

of the Integrated Soundtrack. New York, NY: Oxford University Press, 2019. 21 Chion, Michel. Audiovision: Sound on Screen. Edited and translated by Claudia Gorbman. New York: Columbia

University Press, 1994. 22 Chion, 69.

8

determine a multitude of information about the physical space that a sound originates from as a

result of certain acoustic qualities the sound possesses.23 The visualization of sound sources also

plays an important role in Chion’s understanding of the audio-visual relationship, and Chion splits

diegetic sound into onscreen and offscreen categories, as he considers this distinction to be

significant enough to warrant new categories.24 Acousmatic sound is another important term that

Chion introduces, which is sound without a visualized source in the diegesis. In a framework that

emphasizes spatialization of sound, this quality is a significant enough differentiation from the

norm to warrant specific terminology.25

Furthermore, in addition to ideas regarding spatialization of sound, Chion describes at

length the phenomena of synchronization in regards to audio and visual elements of film. The

simultaneous occurrence of both a sound and an action on the screen magnetize the sound and

image together in a synchronization that can be acutely perceived by the audience. Chion’s

emphasis on the synchronization of audio and visual elements is due to the strong sense of

interlinkage created by this phenomenon, the implications this creates regarding the audience’s

perception of where sound is located, and how artists can utilize this information in the creation of

artistic works.

Audio-vision’s most relevant contributions to my research are understandings of the

relationship between audio and visual elements in film, as well as the relationship between sound

and (physical) space. Chion’s consideration of whether sources of sound or on-screen or off-screen,

as well as the concept of acousmatic sound, are all important tools I use to evaluate how anchored

music is to the diegesis. Additionally, the idea synchronization provides for me a useful tool to

23 Chion, 25-34. 24 Chion, 73. 25 Chion, 71.

9

help establish the relationship between sounds and their sources as visualized in the diegesis, as

well as identifying spatial information in the sound of the music provides key connections (or lack

thereof) between the music and the diegetic space.

A Useful Distinction? Communication Model, Perception Model, and the Fantastical Gap

Stemming from significant publications such as Gorbman and Chion, a series of notable

discussions appear in the academic literature, one of the most important of which is regarding the

communication and perception models of analysis.26

The communication model has been historically quite common in film music literature,

using a tripartite division of composer - film - audience, where the composer is seen to

communicate a meaning (or message) through the medium of the film to a receptive audience.27

Notable critiques of this framework include the fallacy of intentionality attributed to the composer,

the reduction of the film to a vehicle for a message, and the passive role ascribed to the audience.28

The various shortcomings of the communication model have led to the gradual movement away

from it, and the embrace instead of a perception model which forefronts the personal and subjective

perceptual experience of the audience in the framework. The perception model, rather than

emphasizing a communicated message from the artist to the audience through the film, instead

forefronts how the film is experienced and perceived from the perspective of the audience. This

perception model attributes agency to the audience in way the communication model does not, and

26 The preference of a perception model over a communication model is a central argument to Neoformalist authors.

See Thompson, Kristin. Breaking the Glass Armor: Neoformalist Film Analysis. Princeton, New Jersey: Princeton

University Press, 1988. 27 Audissino, Emilio. Film/Music Analysis: A Film Studies Approach. Edited by K.J. Donnelly. London, UK: Palgrave

Macmillan, 2017, 31. 28 Audissino, 31-32; Heldt, Guido. Music and Levels of Narration in Film: Steps Across the Border. Chicago, IL: The

University of Chicago Press, 2013, 76.

10

is less likely to simplify or reduce the film to a vessel or container for a message.29 The perception

model is thus an important part of my research, and I ensure that the audience’s experience and

perspective forms an important component of my analysis.

With the shift away from the communication model, some authors identified a perceived

conflict between the perception model and using diegetic and non-diegetic classifications. The

question of whether or not music is located within the diegesis could be considered an act of

sourcing (or locating) the music, which usually requires the identification of an explicit or implied

source.30 In the context of the shift away from the communication model, distinguishing between

diegetic and non-diegetic categories could be considered a reversion to communication model

thinking, as locating the source of the music is arguably analogous to emphasizing the sender or

communicator of the music. The core of this argument is that it urges caution when utilizing

diegetic and non-diegetic terminology and analytical methods, as they contain within them an

element of communication model bias.

Another criticism of the diegetic/non-diegetic distinction is in relation to the larger trend

in film music literature of utilizing a more integrated model when discussing film music. Film

music studies have historically tended to excise music from the film in order to analyze it, which

has been criticized as creating sterile understandings of the music that are divorced from the

context in which they appear (the film). To push back against separatist conceptions of film music,

newer publications seek to integrate the music within the film and to avoid removal of context

when analyzing music.31 In relation to the diegetic/non-diegetic distinction, criticisms are levied

that the act of placing music “inside” or “outside” the diegesis creates a problematic structure that

29 Audissino, 53-60. 30 Notable arguments regarding the sourcing of music can be seen in Audissino, 31; Heldt, 77. 31 Audissino,45-60; Winters, Ben. “Musical Wallpaper? Towards an Appreciation of non-Narrating Music in Film.”

Music, Sound, and the Moving Image 6, no.1 (Spring 2012): 51.

11

implies especially that the non-diegetic film is in some way “outside” of some element of the film.

It is important not to conflate being outside the diegesis with being external to, or separate from,

the film itself.

However, despite these misgivings, there has been significant support for the continuation

of the diegetic/non-diegetic distinction. Stilwell’s description of the “Fantastical Gap” in 2007 in

particular left a large impression on film music literature.32,33 In it, she outlines instances where

film music is heard or felt to shift between diegetic and non-diegetic space, creating moments

where the ambiguous or fluid placement of the music within spaces elicits strong emotional or

narrative significance. Stilwell’s argument is that these strong and outwardly evident moments of

significance demonstrate that the diegetic/non-diegetic distinction is both actively being engaged

with in artistic practice, and is either a conscious or unconscious understanding within the

perceptual experience of the audience since they can perceive these moments of play. 34 The

“Fantastical Gap” provides sufficient justification for the importance of the diegetic/non-diegetic

distinction by rooting it in ongoing artistic practice and the audience’s perceptual experience. The

aforementioned issues surrounding the communication model and the separation of music still

remain true, however instead of serving as arguments against the use of a diegetic/non-diegetic

framework, they acted as warnings to remain aware of during my research.

The relevance of the diegetic/non-diegetic distinction is further cemented by literature

published by those that belong to the field of narratology.35 These authors seek to understand film

32 Stilwell, Robynn J. “The Fantastical Gap between Diegetic and Nondiegetic.” In Beyond the Soundtrack:

Representing Music in Cinema. Edited by Daniel Goldmark, Lawrence Kramer, and Richard D. Leppert. Berkeley,

CA: University of California Press, 2007, 184-202. 33 Stilwell’s publication “The Fantastical Gap…” can be found cited in nearly all discussions regarding diegetic

spaces and boundaries in film music following its publication in 2007. 34 Stilwell, 200. 35 Bordwell, David. Narration in the Fiction Film. Madison: University of Wisconsin Press, 1985; Metz, Christian.

Language and Cinema. Translated by Donna Jean Umiker-Sebeok. The Hague: Mouton, 1974.

12

music as it relates to the narrative present within the film. Beginning as early as Chion, with his

emphasis on synch points, narratology has provided a large body of quality literature that

demonstrates the active play between diegetic and non-diegetic music (and the liminal spaces

between and outside of them) as it relates to narrative threads in film.36 The film music narratology

literature builds on the work of authors such as Stilwell to further explore the ways in which

movement between diegetic and non-diegetic spaces (and of course many other film music

elements) interacts with the narrative of the film in significant and noteworthy ways.

With Stilwell (and other authors) having argued a largely acknowledged case that the

distinction of diegetic and non-diegetic is worthwhile, subsequent discussions have focused largely

on terminology and definition. The debate on appropriate terminology and boundaries for diegetic

music, non-diegetic music, and other potential categories, is vast, with almost as many different

combinations of terms as there are publications on the matter.37 Exhaustively aggregating all

variations in terminology would be a fraught endeavor, and so it is rather more useful to consider

arguments regarding definition and terminology in relation to two main spaces; the diegetic space

and the “other” space (popularly known as the non-diegetic space).

The Diegetic Space

Defining the diegetic space is difficult and contains within it a myriad of problems. For

many purposes in academic literature, a working definition of the diegesis might be simpler in

nature depending on the nature of the analysis. However, due to the nature of my research, a more

36 Buhler, James. Theories of the Soundtrack. New York, NY: Oxford University Press, 2019, 151-186; Heldt, Music

and Levels of Narration in Film. 37 Just a few examples are Audissino and Gorbman’s use of diegetic/non-diegetic/meta-diegetic, Chion’s use of

onscreen/offscreen/non-diegetic, Heldt’s use of diegetic/narration, Winter’s use of intra-diegetic/extra-diegetic.

13

complex understanding of the diegesis is required. Unfortunately, attempting to more precisely

define a film’s diegesis quickly becomes a much more difficult task.

Of central importance to understanding the nature of the diegesis is the general movement

away from the communication model towards the perception model in the literature. Although

previous understandings of the diegesis contain within them perhaps no overt reference to the idea

being used in a communicative sense, there are still important lessons to be learned from the shift

in values associated with the adoption of the perception model over the communication model. An

understanding of the diegesis should not center the communicator’s (director, author, etc.)

conception of the diegesis, but should instead center the audience’s perception and construction of

the diegesis.

The adoption of the perception model has coincided with, and perhaps precipitated, a shift

towards a cognitive and perceptual framing for the diegesis. Heldt, Winters, and Yacavone all

emphasize that the audience’s understanding of the diegesis is largely subjective, and that the

diegesis cannot be properly understood outside of this subjective experience.38 The diegesis can

be understood as a world inside the film that is largely unable to be seen or perceived by the

audience, except through the audio-visual elements (such as dialogue, ambient noise, film shots,

etc.) provided by, and which constitute, the film itself. This means that the diegesis, as a world

within the film, can only be seen through the fragmented pieces provided by the film. These

fragments are inherently incomplete, as the sum totality of the diegesis cannot be presented by the

38 Heldt, Music and Levels of Narration in Film, 52; Winters, Ben. “The Non-Diegetic Fallacy: Music, Film, and

Narrative Space.” Music and Letters 91, no.2 (2010): 224-244; Yacavone, Daniel. “Spaces, Gaps, and Levels: From

the Diegetic to the Aesthetic in Film Theory.” Music, Sound, and the Moving Image 6, no.1 (Spring 2012): 21-37.

14

film in any realistic means, and so the audience’s understanding of the diegesis (as presented by

the film) can only be incomplete.39

However, despite the fragmented presentation of the diegesis by the film, the audience

plays an active role in completing the diegesis. The fragments are expanded on in the mind of the

audience, filling in the gaps between what is provided by the film, creating an expanded

understanding of the diegesis that is deeply indebted to the audience’s subjective and individual

experience. This subjectively expanded understanding of the diegesis is argued, by the same

authors and others, to be comparable to reality without being beholden to reality, and is further

mediated by cultural expectations and previous experiences.40 This method of understanding the

diegesis forefronts a perception based audience experience, in line with current values aligning

with the perception model.

The works of Yacavone and Winters in particular provide me with a working understanding

of the diegesis that operates within the perception model. Key to this perspective is understanding

the inherently incomplete view of the diegesis provided by the film, as well as the active and

subjective role the audience plays in completing the diegesis within their own mind. This

understanding of the diegesis incorporates the subjective and perceptual aspects of its identity, and

forefronts the active participatory role of the audience in the filmic experience.

The “Other” Space

39 Yacavone, Daniel. Film Worlds: A Philosophical Aesthetics of Cinema. New York, NY: Columbia University Press,

2015, 27. 40 Smith, Jeff. “Bridging the Gap: Reconsidering the Border between Diegetic and Nondiegetic Music.” Music, Sound,

and the Moving Image 2, no.1 (Spring 2009): 1-25; Winters, The Non-Diegetic Fallacy; Yacavone, “Spaces, Gaps,

and Levels:”.

15

Understanding the “other” space (popularly known as the non-diegetic space) that exists

alongside the diegesis is difficult due to a lack of consensus on the nature of said space. It is in

attempting to understand the “other” space within films that authors have put forth a variety of

new terminology, as well as created numerous additional categories to expand beyond a simple

binary or dichotomy.41 This is partly due to the fact that many authors seek to have a more

appropriate manner with which to describe the space other than simply in opposition to the diegetic

space, taking issue with labelling it “non-diegetic”. It is in attempting to better describe the space

that this diverse array of terminology and definitions have emerged, but there are a couple framings

that have emerged as popular ways to describe the space.

A common perspective on the “other” space is that it is an area of narrative phenomena.

Some authors in the narratology field see it as a narrational space in particular.42 They argue that

in the narrational space, outside of the diegetic space, music provides narrative elements or engages

empathetically with the film narrative. This creates a diegetic/narrational space dichotomy, where

music can be understood to be of either the diegesis, or the narration of said diegesis.

Another important look at a similar but contrasting understanding of the “other” space is

the labelling of the space as a presentational space.43 When the concern is less explicitly aimed

towards the narrative implications of music in the space outside the diegesis, it moves towards an

understanding more of the presentation of the diegesis being a defining characteristic of the “other”

space. The presentational space is where elements that are external to the diegesis, but still part of

the film and play a role in the presentation of the diegesis, are placed. I use a presentational framing

41 See footnote number 34 for some examples of additional terminology. 42 Heldt, Music and Levels of Narration in Film; Buhler, Theories of the Soundtrack, 151-186. 43 Yacavone, Spaces, Gaps, and Levels.

16

for the “other” space, as a narrative framing relies too strongly on the function of filmic elements,

instead of relying on a positional and spatial understanding.

While there are a wide variety of different publications offering a diverse array of

terminological solutions to describe and label the other space, both the narratological and

presentational framing provide for me the most useful understandings of the space. Both of them

emphasize the space as being one which engages with the audience, and emphasizes the role that

the space plays in mediating and presenting the diegesis to the audience in the form of a narrative.

These perspectives emphasize the importance of the audience’s experience viewing the film, and

seeks to frame the spaces as places where communication occurs, as well as engagement with the

audience.

17

Chapter 2: Framework

Shifting away from the Communication Model, and towards a Perception Model

At the center of the framework for my research is the importance of considering the

perception model and its benefits, while avoiding the pitfalls of the communication framework.

The communication model is associated with a series of issues in film music literature, and the

shift towards the perception model has been the solution to the majority of these issues. In regards

to how this has informed my framework, I have avoided attempting to decipher communicated

messages by Zhao Jiping. Instead, I have emphasized the music as having value and interest

outside its potential role as a carrier of a message, and I have kept the audience’s perspective and

perceptual experience central to my analysis. This means framing research through the lens of how

the music is experienced and perceived, instead of what it communicates.

The Film as an Integrated System

Another important perspective I have included in my research is an integrated (non-

separatist) understanding of the film music in Yellow Earth. There has been a historical preference

in the film music literature to excise music from the film in order to discuss it, and it has resulted

in the omission of important insights on how the music functions within the film.44 Considerations

of the film as a unified system, instead of a collection of disparate parts, necessitate that the music

be considered within the context of the film in which it occurs, as it is an integral part of the music’s

identity. When film music is removed from the film the myriad ways in which the music interacts

with other elements of the film are lost, or made unintelligible. My research seeks to, whenever

44 Audissino, Film/Music Analysis, 45; Winters, “Musical Wallpaper?...”, 40.

18

possible, consider the music in the context of the film, taking account of other audio, visual, and

narrative phenomena that might be interacting with the music.

“Contrapuntal” Shortcomings

I also avoided discussing the relationship of filmic elements (music, sound, visuals,

narrative, etc.) in contrapuntal terms. Previously in the literature, there has been the tendency to

arrange film elements in pairs and discuss them in terms of “agreement” or “disagreement”

(consonance or dissonance). Audissino in particular identifies the trap present here in noting how

this traditionally causes analyses to prioritize and forefront moments where there would be

perceived to be a disagreement, or a sense of change. When the music is perceived to be moving

along smoothly, in agreement with the narrative, there is often a tendency to overlook it. The

contrapuntal framing of agreement and disagreement (with the comparison being drawn to the

binary consonance and dissonance of counterpoint) creates hierarchies and biases when discussing

soundtracks that can result in misallocated resources and efforts.45 The solution to this is a more

egalitarian understanding of the soundtrack, where hierarchies of importance are not biased

towards moments that “stand out.” The importance of silence, so-called “wallpaper music,”46 and

other less flashy parts of a film’s soundtrack have been the source of fascinating and important

discussions, and I give these moments equal consideration as potential areas of interest when

engaging in my analysis.

45 Audissino, 26. 46 Winters, “Musical Wallpaper?...”

19

Bottom-Up, not Top-Down

Another issue central to my research is the importance of avoiding top-down theory.

Although this is, in some ways, a somewhat vague consideration when said in the abstract, I believe

that it is incredibly important in conducting valuable research.47 In my research I ensure that my

theory, methodology, and overall research is informed first and foremost by Zhao Jiping’s music

in Yellow Earth. Research about art, its context, and its impact, needs to stem first and foremost

from the realities of the art and the artistic practice that produced it. Research should be responsive

to the works and materials being discussed, adapting and being flexible as understandings and

framings change. Analyses should seek to shed light on and help understand the artwork and the

contexts surrounding it, and not prescribe to the artwork how it is that it should be.

Material Constraints and Limitations

The process of creating a film often involves large numbers of people from across multiple

disciplines and industries, and depending on the size of the film, can take lengthy periods of time

to produce. This means that there is an ongoing process of negotiation involved in the making of

the film. Technological limitations, budgetary costs, time constraints, political pressures, market

influences, and many other factors can tangibly alter a film as it is being made and released.48 With

a tendency to forefront the perceived “artists” involved in the making of the film such as the

director or the film score composer, the decision whether or not to include music in a scene, or to

film the scene in particular location can simply be the result of some of these material realities

involved in the making of the film, and not an artistic choice made to serve a grander goal by the

47 Audissino writes at length about the pitfalls of attempting to use “Grand Theory” or other methods that attempt to

utilize one all-encompassing method or theoretical approach when discussing film music. See Audissino, 51-53. 48 McDougall documents a number of technical, budgetary, and other constraints that noticeably impacted the

production of Yellow Earth in particular. See McDougall, The Yellow Earth, 25-54.

20

director (or other significant agent). Filmmaking is a complex process involving significant

cooperation across wide periods of time and fields of specialty, with constraining influences

directly impacting the final product, and so I incorporate considerations for these material and

“external” pressures into my research whenever relevant.

Inclusive Understanding of a Soundtrack

Due to the scope of my research being specifically about the music of Zhao Jiping in Yellow

Earth, I have had to carefully consider my definition of the soundtrack. Publications by Kulezic-

Wilson and others emphasize the importance of understanding a film soundtrack as being more

than just the music that plays during the film.49 They highlight the importance of audio production,

mixing, effects, silence, ambient noise, and sound effects in how the soundtrack is perceived by

the audience, building on ideas raised by Chion. All these elements combine and work together to

create the audio portion of the film alongside the music, and they can all behave and perform in

ways (function, emotive impact on audience, etc.) similar to music when considering the impact

on the audience’s experience. This is directly related as well to the note on the importance of

considering material realities of the film making process, as in most films (Yellow Earth is no

exceptions) there is not usually one single person to whom all sound is attributed. There are

composers, sound design technicians, mixers and producers, etc., who all take part in the shaping

of the soundtrack, and even if you consider only the music of a film, there are still multiple

individuals or teams that are involved in integrating the music into the film and preparing it for

viewing.

49 Chion, Audiovision, 66-94; Gorbman, Unheard Melodies, 18-19; Kulezic-Wilson, Sound Design is the New Score.

21

In regards to my research in particular, focusing specifically on Zhao Jiping, having an

inclusive understanding of Zhao’s music in the soundtrack means incorporating elements of the

mixing and the production into my analysis. As Zhao Jiping does not seem to have played a role

in the sound design of Yellow Earth, I will be limiting the aspects of the soundtrack that I discuss

to the music and the way that it is produced and mixed.50 This means reverb and other audio effects

(especially ones that imply spatialization), volume, and other production elements will be

considered when seeking to relate the music to the diegetic and presentational spaces. Because of

the scope of my research focuses on the music and the manner in which it is produced, I will be

referring to the “score” of Yellow Earth when speaking specifically of music, and the “soundtrack”

when inclusively considering audio elements in general, as the definition of the soundtrack is now

more inclusive and expansive and should not be used when referring solely to the music that occurs

in the film. Despite my research focusing only focusing on one part of the soundtrack, an inclusive

understanding of the soundtrack still benefits my research as it highlights how different elements

of the film’s audio (and members of the film’s sound production team) work together.

Understanding Spaces by Location, not Function

An important element of my framing is locating music within musical spaces properly

through spatialization, and not through function. There is a tendency in the literature to blur lines

between musical function and musical space, often conflating function with location.51 Arguments

are made that music belongs in narrative spaces due to its role in signaling some aspect of the

50 Zhao Jiping is credited as being composer or music writer (作曲), with a separate credit given for sound recording

(录音) to Lin Lin (林临) for Yellow Earth. 51 Despite discussion by Gorbman and others emphasizing the ability of music in film to perform a variety of roles

regardless of the music’s location within the film, there have been attempts, especially amongst authors ascribing to

narratological schools of thought, to determine the location of music by examining the music’s function.

22

narrative, or that the music might belong in the diegetic space due to the music helping establish

the diegetic setting.52 However, over and over across multiple publications and authors, it has been

shown that although there are tendencies towards certain relationships of function and location, it

is a case of correlation not causation.53 There have been myriad examples of music existing in a

space while taking on many possible functions. Space and function are two fascinating properties

that music can have in a film, but they should not be conflated. They are independent variables

that engage in significant interplay, but they must be treated as distinct categories. My research

specifically investigates Zhao Jiping’s engagement with musical spaces, not the function of his

music, and so I structure my definitions and understandings around location, and not function.

Yacavone’s Definitions of the Diegetic and Presentational Spaces

Due to the central role they play in my research, the diegetic and presentational spaces

should be defined and understood with as much specificity as possible. Although there have been

numerous publications that have contributed to understanding diegetic and presentational spaces,

the work of Yacavone provides the interpretations most in-line with the values and ideas of modern

film music literature.54 Yacavone’s publications focus around theoretical understandings of the

worlds that exist within films, and although the publications do not specifically discuss the role

and place of music in these spaces, Yacavone provides the most convincing argument for how to

understand the diegetic and presentational spaces.

52 Heldt, as an author in the narratological field, acknowledges the diversity of function of film music but still argues

a case for narrative function as a defining trait of music in the non-diegetic (or the narrational) space. 53 See Gorbman, Unheard Melodies; Heldt, Music and Levels of Narration in Film; Neumeyer, David.

“Diegetic/Nondiegetic: A Theoretical Model.” Music and the Moving Image 2, no.1 (2009): 26-39. 54 See Yacavone, Film Worlds; Yacavone, “Spaces, Gaps, and Levels…”.

23

Yacavone’s main divisions are the world-in (the film) and the world-of (the film).55 Both

of these terms are chosen because they carefully emphasize that the spaces of the film are part of

the film as a system. There is an intentional avoidance of terminology that implies an “inside” and

“outside” or anything along a binary that implies something is external or extraneous to the film.

This particular line of thinking aligns with my emphasis on having an integrated understanding of

the filmic system, ensuring that all the spaces being discussed are still integral parts of the film as

a unified whole.

The World-in

The world-in is essentially analogous to the diegesis as discussed elsewhere in the literature,

although Yacavone expands on the understanding in key ways. Yacavone first emphasizes that the

world-in does not have to be realistic (bear resemblance to the reality of our day-to-day lives), and

that realism is often a misattributed quality to the world-in (or diegesis). The world-in is perceived

by the audience through a selective group of scenes, shots, angles, and stills that are given to them

by the film itself. Therefore there exists a collection of fragmented glimpses into the world of the

diegesis provided by the film to the audience, and assuming there is no information external to the

film being provided (which can occur), these fragments are the sole “evidence” provided for the

audience to understand the diegesis.56 It is after these fragments are provided that the diegesis

begins to be expanded in the mind of the audience. Yacavone argues that the audience expands on

and builds up the diegesis beyond the fragments provided by the film through a complex process

of perceptual and personal experiences. Yacavone explains that the mind seeks to understand what

lies beyond the fragments by using logical deduction and inference based upon understandings of

55 Yacavone, Film Worlds, 30-35. 56 Yacavone, “Spaces, Gaps, and Levels…”, 29.

24

how worlds work.57 This understanding of how things “work” is fundamentally rooted in the

audience’s personal subjective understanding of the world around them, which itself is influenced

by past experiences, cultural influences and lessons, understandings of morality, science, etc.

Yacavone states that, “In other words, it is the viewer who perceptually and imaginatively

actualizes this inescapably referential level of a film on the basis of the prior knowledge and

experience that he or she brings to it, including that of what is and is not fictional (even if this may

not always be certain or clear-cut).”58

If I were to attempt to summarize in brief, the film provides to the audience brief insights

into the world-in the film through shots/scenes. The audience then internally expands on these

fragmentary insights through logical inference and assumption as to the nature of the world-in the

film. These assumptions and inferences are informed by the audience’s personal perception of

reality and the world around them, which is a complex and nuanced understanding that

incorporates personal experiences, values, cultural norms and understandings, and even artistic

and genre norms. This is directly related to Yacavone’s argument that realism plays too important

a role in some definitions of the world-in the film, as although the diegesis is understood in relation

to reality, the reality to which it is compared is an extremely complex entity constructed out of

many subjective, perceptual, and personal experiences both unique to and shared between

members of the audience.59

This understanding of the world-in forefronts the perceptual experience of the audience,

and casts them as the active participators in the construction of the world-in. This aligns with the

perception model’s understanding of the audience and their experience as active and important

57 Yacavone, “Spaces, Gaps, and Levels…”, 29. 58 Yacavone, “Spaces, Gaps, and Levels…”, 29. 59 Yacavone, “Spaces, Gaps, and Levels…”, 31.

25

parts of the filmic experience. The glimpses of the world-in are provided by the film, through all

the various tools that a film has at its disposal, such as visual scenes, still images, music, ambient

sound, narrative, etc.. This aligns with a more unified and non-separatist understanding of the film,

seeing it as a system of many different interrelated parts that are best understood in combination

and in relation to each other set within their own context, and not removed from the film for a

surgical dissection. The source of this understanding begins fundamentally with the film itself and

what it is that it presents to the audience, which then goes on to the perceptual experience of the

audience, all of which helps avoid a top-down model of theory, since the work and how it is

experience is fore fronted in Yacavone’s understanding of the world-in.

I will be using Yacavone’s world-in to understand the diegesis of the films, because of its

flexibility and the aforementioned ways in which it aligns with modern developments in the film

music literature. It is an understanding that allows for nuance and audience agency in the

construction of the diegesis, and instead of trying to explain away ambiguities and disagreements

on the nature of the diegesis, it embraces the subjective and personal nature of the diegesis. The

limits of the diegesis in film, and the nature of it, is inherently tied to each audience member’s

personal understanding of the world around them, and the world that they expect to see in the film.

This allows for an inclusive understanding of the diegesis, where many things can be

simultaneously true for different individuals.

The World-of

In regards to the “other” space of the film (the non-diegetic), Yacavone contrasts the world-

in with the world-of. The world-of the film contains within it the sum of the filmic experience that

can be sourced from the film itself (this does not include external elements of the film viewing

26

experience such as room lighting, the comfort of your seat, etc.) The world-of contains the

multitude of elements that makeup the multilayered and complex system that is the film. Yacavone

identifies the world-of as being fundamentally presentational in nature due to its role in the

presentation of objects, spaces, and the overall diegesis of the film for the audience.60 In addition,

emphasis is put on the important ways in which the world-in and the world-of are dependent upon

each other within a filmic system:

“Represented and fictional realities, and the larger story-world of which

they are a part, are contained within it in the manner of an active, functional, and

interdependent integration toward specific artistic ends (with such integration

obviously lacking from nonnarrative, abstract, and experimental films). While the

fictional reality constructed and communicated is fundamentally representational

and denotational, the world-of a film—as corresponding to the totality of a

cinematic work as made and as experienced—should be thought of as (also)

fundamentally presentational. Although the former has the uniqueness and stability

of a representational schema that must be completed through viewer attention and

knowledge, it is the latter— typically when combined with representation —that

possesses much of the perceived singularity of form, affect, and nonliteral meaning

associated with works of art, be they paintings, poems, dance performances, or

films.”61

This understanding of the world-of the film from Yacavone identifies the second

space of the film to include alongside the world-in (or diegesis). Similarly to how

60 Yacavone, “Spaces, Gaps, and Levels…”, 35. 61 Yacavone, Film Worlds, 33.

27

Yacavone’s understanding of the world-in is flexible in its definition due to the role the

personal and subjective experience have in the shaping of the world-in, the world-of is also

somewhat amorphous in its shape and location. The space of the world-of has the film itself

as the external boundary, since it does not include external factors to the film, and it

contains within it the world-in.

Yacavone’s world-of provides a useful framing to understand film music located

outside of the world-in (or diegesis). It is inclusive and flexible, and emphasizes the

dynamic relationship between the different spaces within the film. As a pair, the world-in

and the world-of cover the sum totality of what is contained by the film, and include the

audience as an active participator and creator of the experience.

Final Terminology

Throughout the literature there are many terms for the diegetic and non-diegetic

spaces. Although arguments are made for a variety of differing labels, Yacavone’s world-

in and world-of make for the strongest case which aligns with the values espoused in the

film music literature regarding research practices. However, although these terms are

useful from a theoretical standpoint, I use the terms diegetic and presentational in my

research.62

While the use of the term diegetic for the world-in is nearly universal, the need for

the presentational term is due to multiple reasons. The first is that the use of terms such as

the extra-diegetic and the non-diegetic do not serve to describe the “other” space in a

constructive or positive way. The presentational space is extremely important for the film

62 Prior to this point in the paper I have been using non-diegetic for the purpose of clarity, as it is a more widely

popularized and known term for the space that I prefer to call the presentational space.

28

and for the audience, and it should have a term and definition that can positively define it

in a way that is not just in opposition to the diegesis. Additionally, the terms of the world-

in and the world-of from Yacavone are accurate, but suffer from an issue of intelligibility

in writing. They serve as very useful theoretical concepts, and are described and explored

in extreme detail by Yacavone from a theoretical perspective, but they are not necessarily

practical to use due to their visual and phonetic similarities, making them easy to misread

or say aloud, especially by those less familiar with the concepts. Describing the spaces in

the film as diegetic and presentational allows for clear visual and phonetic distinction, as

well as both words providing clear signaling as to the natures of the spaces.

Fundamentally, I believe that Yacavone’s understanding of spaces within a film

allows for flexible definitions that can actively respond to the artworks. With some shifting

of vocabulary and definition for practical purposes away from world-in and world-of

towards diegetic and presentational, Yacavone’s theoretical framework provides a model

that aligns with the values centered within film music discourse. The framework is

inclusive, forefronts the audience’s experience, appropriately ascribes the audience agency,

sees the film as a unified and interrelated system, and allows for understanding of filmic

spaces to be informed by the individual artworks on a case by case basis. This flexibility

and set of values provides the most appropriate framework for understanding and

discussing spaces in film.

29

Chapter 3: Methodology

In my research, one of the first issues I addressed was regarding language barriers in

publications. There is a paucity of publications in the English-language literature on Yellow Earth

as well as on Zhao Jiping. Because of this, although my research does not extensively engage with

topics of discussion that appear in Mandarin-language publications, I have had to rely at times

upon information gleaned through the publications of multilingual researchers who have

proficiency in both English and Mandarin.63 Additionally, I made use of my modest Mandarin to

do some personal translations of documentary material when possible, and when assessing if the

content of a publication was relevant enough to pursue a full translation.64

I began my research by first establishing a preliminary understanding of the nature and

setting of the diegesis, which in the case of Yellow Earth is located in a real time and place in

northern Shaanxi (陝西 ) province, also known as Shaanbei (陝北 ) in 1939. 65 I needed to

understand the diegesis in a broader sense because the diegesis provides spatiotemporal

information such as geographic locations and points in time, as well providing information as to

the rules that govern the diegetic music. Seeing as the diegesis is perceived through what is

presented to the audience by the film (following Yacavone’s theories of the world-in and world-

of), I first had to identify whether or not the diegesis bears resemblance to or is influenced by real

world places and times. The title screen and scrolling text that open Yellow Earth provided explicit

context to the setting for the film’s diegesis, and confirmed that it draws directly from a real time

and place in history. This meant that I was able to engage with external resources relating to that

63 Authors such as Xiao have been extremely important regarding any writings on Zhao Jiping’s music. 64 This only became relevant regarding the personal translation of the CCTV mini-documentary on Zhao Jiping, see

footnote number 9. 65 Established explicitly by the opening scenes of the film, with scrolling text, in addition to information presented in

McDougall, The Yellow Earth, regarding the setting of the film.

30

time and place in history in order to learn more about the setting of the diegesis, taking care to

make sure that I remained open and aware to potential disconnects where the film might not exactly

align with reality.66

When engaging with Yellow Earth and external resources in order to better understand the

context of the film and its diegesis, it was important that I engaged in self-reflection as a researcher.

Following Yacavone’s understanding of the diegesis, a large part of the understanding of the

diegesis is internal, subjective, perceptual, and individual to the audience who is perceiving it. This

means that my particular cultural, social, and personal perspective bears impact on my

understanding of the diegesis. Since the diegesis is only shown in fragments through the film,

occasionally supplemented by external resources, a large part of the diegesis is the “filling of the

gaps” done by the audience (myself). As a researcher, I am not objective, and it is important that I

actively engage in self-reflection and respond appropriately to assumptions and biases that I may

have. This is of particular importance in the context of my research, where I am coming from a

university background heavily indebted to a European tradition of knowledge and knowing with

historical roots that influence the way modern institutions and researchers function. My

background bears influence on the way that I understand and perceive the world, especially in

regards to my academic research.67

Another important aspect of my self-reflection is understanding the ongoing legacy of

colonialism, with particular emphasis on how European-influenced academics (from the tradition

66 Important topics that were the focus of my contextualization were regarding the Yan’an conference on literature

and art, the early history of the CCP and their roots in the Shaanxi region, music of the New Culture movement, as

well as other early and mid 20th century historical, political, and artist trends and events. 67 For larger discussions regarding ethical cross-cultural research practices, see Cleary, Linda Miller. Cross-Cultural

Research with Integrity: Collected Wisdom from Researchers in Social Settings. New York, NY: Palgrave Macmillan,

2013; Court, Deborah. Qualitative Research and Intercultural Understanding: Conducting Qualitative Research in

Multicultural Settings. New York, NY: Routledge, 2018; Robinson-Pant, Anna, and Alain Wolf. Researching Across

Languages and Cultures: A Guide to doing Research Interculturally. New York, NY: Routledge, 2017.

31

in which I am trained) have historically approached and discussed cultures perceived to be “other”

to their own. As a researcher discussing films from China, and seeking to understand diegetic

worlds that are spatiotemporally located within 20th century China, my understanding of China,

its culture, and its history, is influenced by colonial legacies and narratives. There is no quick-fix

or simple answer as to how to navigate or solve this dilemma, and modern ethical research

practices emphasize the need for ongoing self-reflection and reflexivity.68 From the perspective

that I exist in, there are some elements of Chinese culture and history (and by extension the diegetic

worlds of the films) that I am not able to understand, and will not be able to speak about with

authority. This does not mean that there is no place for cross-cultural research, but instead means

that it should be undertaken with appropriate caution, self-reflection, and humility. My own

perceptions and understandings have a massive influence on my understanding of the diegesis, and

it is crucial that I engage in this self-reflection and reflexivity as a researcher if I wish to more

appropriately understand the diegetic world of Yellow Earth.

Once I achieved a preliminary understanding of the diegesis using information both

internal and external to the film, I was then able to better examine the music of the diegesis. I first

located the diegetic music, due to visualized diegetic music being the most reliable category of

film music to locate. My argument for the strength of visualized music as diegetic in nature is due

to the cognitive factors brought up by Chion, who emphasizes human perception of sound as being

fundamentally tied to our understanding of its source and what the sound can tell us about the

source of the sound.69 When the film provides us with source for the music that is visually anchored

within the diegesis (onscreen), acoustically anchored within the physical diegetic space (volume,

frequency range, reverb, etc.), and logically anchored in the diegesis (consistent with the audience

68 For further discussion on reflexivity and reflection, see Cleary, Cross-Cultural Research with Integrity, 21-47. 69 See causal listening, Chion, Audiovision, 25.

32

understanding of the diegesis), then the strongest argument possible can be made for the diegetic

locality for the music.

I began by identifying instances of visualized music, and confirming the music’s visual,

acoustic, and logical anchoring to the diegetic space. Visual confirmation is straightforward, in

that a visible source needs to be observed onscreen which is perceived to emit the music, either

because of the nature of the source (a cello is seen being played as a cello is heard), or because the

source is seen to be rhythmically synched with the audio in a way that implies its source (such as

seeing someone’s lips move as your hear someone speak). This relationship of sound and image

draws from Chion’s theories on synchronization and synch points, which outline the relationship

created in the mind of the audience when audio and visual elements are synchronized in time in a

way that implies cause and effect or other relationship.70

Next, I established whether the music was acoustically anchored in the diegesis. Acoustic

confirmation specifically refers to whether the acoustic information in the music reflects the

immediate diegetic locality. This refers to particular qualities the music might have, such as

frequency range, reverb, volume, etc. These elements of the music indicate distance, the size and

nature of the room, and the nature of the source.71 To continue with the cello example, the cello

might visually be made of wood, and is being played in a large concert hall, while the point of

audition is far away at the back of the hall. To be acoustically anchored in this diegetic setting, the

cello would need to sound like it is made of wood, not metal (this could be due to a large amount

of factors such as particular overtones, but the perception of the audience being that it is made of

wood is what is crucial). It would also need to be somewhat quiet, as might be expected of a solo

instrument in a large hall. The reverb of the room (the ambient acoustic feedback of the shape,

70 Chion, 58. 71 For information able to be gleaned from listening, see the three listening modes, Chion, Audiovision, 25-34.

33

size, and surfaces of the hall) would also need to be consistent with a professional concert hall. In

addition, higher frequencies diminish first as distance increases, and so if one is significantly far

from the stage, some of the higher frequencies might be less perceivable. The act of acoustically

anchoring music within the diegesis could be reduced to a scientific and quantitative endeavour of

decibel readings and frequency analysis, but what is most important in a perception model

framework is the experience of the audience. This means that what must be considered is whether

or not the music is believably anchored within the diegetic space; a belief that will, of course, vary

from audience member to audience member depending on their personal circumstances.

The third task I undertook was determining whether the music was logically consistent

with the diegesis. This category can overlap with visual and acoustic anchoring, as visualization

and acoustic quality are both “logical” qualities of the diegesis. However, this category is of course

by nature extremely subjective. Believing that the source of the music is present in the diegesis is

an important consideration to have, because so much of the diegesis is internally constructed. If

the source of the music is visually and acoustically anchored in the diegesis, but some element of

the presentation or narrative causes the audience to perceive that the music might not actually be

present despite contrary “physical” evidence, this perception must be given weight. In adopting a

perception model, and in accepting that a large part of the diegesis is internally and subjectively

constructed, means that part of the diegesis presented by the film should not be prioritized over

the perception of the audience. In cases where audience perception does not align with visual and

acoustic anchoring, the issue arose as to how to weight the evidence. I considered if elements of

the diegesis presented by the film are more important, or if elements of the diegesis constructed

by the audience are more important. Although it is a difficult question, because I am using a

perception model I choose to forefront the experience of the audience in these considerations. This

34

means that although visual and acoustic anchoring are important for establishing whether or not

the music is located in the diegesis, the perception of the audience in believing music to be part of

the diegesis is an integral consideration in my research.

After having identified the visualized diegetic music, I then took to identifying acousmatic

music. In acousmatic sound, the source of the sound is not visually confirmed, but is implied to

exist within the diegesis. Chion alternatively describes the visualized-acousmatic categories as

being essentially similar to onscreen-offscreen.72 It is an important distinction and category to

consider because there is a limit to how much can be presented visually in a film (through shots,

framing, etc.), but acoustically speaking there can be almost no limit to how many sounds can

occur together.73 Many things can be heard without being visualized on screen, and this reflects

the reality that just because the source of a sound might not be visible (it being behind the listener

for example), it does not mean that the source of the sound is not anchored in reality. Chion

presents a novel test for a quick assessment when thinking about acousmatic sound, in that it should

in all respects be relatively indistinguishable from visualized sound if the visuals are removed.74

This is to say that the sound (music) should acoustically and logically anchored within the diegesis

even if you are not visually able to anchor it. Identifying acousmatic music in Yellow Earth

followed a similar process to the visualized diegetic music, only relying more heavily on acoustic

and logical anchoring instead of visual anchoring. Acousmatic music is important to distinguish

from presentational music, as both categories lack visual anchoring in the diegesis, but importantly

acousmatic music contains other cues that indicate its location in the diegesis.

72 Chion, 73. 73 Chion, 67-68. 74 Chion provides the example of closing one’s eyes to assess whether or not the aural fidelity is comparable.

Audiovision, 82-83.

35

After having identified visualized and acousmatic diegetic music, I was left with the

remaining music that didn’t easily fit into the two categories, which were either presentational

music or music that lies outside of any proper category (such as in the “Fantastical Gap”).75

Unfortunately, there lay an issue I perceived in defining and understanding presentational music.

I have not found a convincing argument for how to define presentational music other than in the

negation of the diegetic (i.e. define it as the music that is not in the diegesis).76 Attempts have been

made to define and understand presentational music through the function or role it plays in the

film, however the sheer diversity of function that occurs regardless of locality with music in film

gives credence to the argument that function is independent from locality (although there is

certainly tendencies and common practices where they align). This means that presentational

music is to be identified and defined by confirming that it is not located within the diegesis, with

no real alternative way to define it in a more constructive fashion. The presentational space is a

space of artistic play, narrative significance, and great pleasure to researchers, audiences, and

filmmakers alike, and because of this it holds an important role in the conception of film music

(whether it is called non-diegetic, presentational, extra-diegetic, or something else). I believe that

there may be a method to identify presentational music without relying upon proving it is not in

the diegesis, because there is the theoretical language and understanding to describe the

presentational space in ways that don’t rely upon the diegesis entirely. However, the methodology

for putting this understanding and framing of the presentational space into practice eludes me, and

the scholarship at large, and would be a great contribution if it were to be formalized.

75 Stilwell’s terminology. 76 To clarify: the term non-diegetic describes the space only as the (not)-diegetic space. I am looking to define the

space in a manner than describe it for what it is, instead of what it is not.

36

Despite these issues with identifying presentational music from a practical methodological

perspective, I still needed to differentiate presentational music from music that fell outside of any

clearly defined spaces. I separated the presentational music from the other music due to

presentational music containing little to no visual, acoustic, or logical anchoring within the diegesis,

whereas in comparison instances of music that contained ambiguous or variable amounts of

anchoring would be considered outside of a clearly delineated space. This distinction between

presentational music and music outside explicit spaces was a difficult one to make, and

categorization of music into one category or the other was frequently conditional, and I remained

flexible and ready to amend my assessment of the location of the music should further information

or evidence present itself.

Once the music was roughly organized into diegetic (visualized and acousmatic),

presentational, and the Fantastical Gap, the spaces were then able to be characterized. It is from

this characterization of spaces that I sought to understand the instrumentation, genre, style, mixing,

logic, etc. of the music in each of the musical spaces in order to observe how Zhao Jiping plays

with and engages with the spaces in his music. In this characterizing, it was important to temper

my assessments with considerations for some of the practical, logistical, and technical limitations

surrounding the conception, production, and release of a large film work such as Yellow Earth and

Red Sorghum. Consideration of some of these factors that are external to the artwork but

inextricably linked with it were important, especially considering the enormous influence real life

social, political, cultural, and economic circumstances had on the filmmaking process. In addition,

my work of self-reflection and reflexivity as a researcher continued to play a central role in my

research. I needed to be honest and critical about what the limits of my knowledge are, critique

37

what are valid sources of information, and look to avoid colonial and neo-colonial frames of

thinking in regards to cross-cultural research.

38

Chapter 4: Yellow Earth (1984)

Yellow Earth is directed by Chen Kaige, with Zhang Yimou in charge of cinematography,

and Zhao Jiping scoring the music for the film. Premiered in 1984 in China, the initial reception

was lukewarm, although it eventually garnered international attention and became an essential film

in the Chinese canon.77 Due to the attention and praise that the film received, there is widespread

discussion and research on the film, with numerous publications in English-language academic

journals and books. However, the majority of the discussion has focused on directorial,

cinematographic, or socio-cultural topics surrounding the production and reception of the film.78

The music of Yellow Earth was composed by Zhao Jiping, who also scored numerous other films

directed by Zhang Yimou and Chen Kaige,79 the result being that his scores were heard around the

world because of the presence of these films at international film festivals and other international

events. Zhao’s score for Yellow Earth was present everywhere that the film was, and because of

this, discussions regarding the international impact and importance of Yellow Earth should include

discussions of the music within it.

In Yellow Earth Zhao Jiping’s score forefronts the music of the diegesis, and uses the

contrasting music characterizations of the diegetic and presentational spaces to create musically

significant moments when shifting between them. Yellow Earth presents a diegesis that seeks to

mirror the reality of rural peasant life in northern Shaanxi province in China, and Zhao Jiping

(being a native of the same general region) draws on his deep knowledge of the region’s musical

77 See McDougall, The Yellow Earth, 55-130 for an extensive discussion regarding all sorts of reception across regions

and periods of time. 78 See footnote number 4. 79 Due to the lack of English-language scholarship on Zhao Jiping’s film scores, the popular website IMDb has the

most comprehensive collection of Zhao’s works. See “Zhao Jiping,” IMDb, accessed April 15, 2022,

https://www.imdb.com/name/nm0947921/

39

traditions to compose a score that either sits realistically within the diegesis (when the music is in

the diegetic space), or uses melodic material from the diegesis with accompanying orchestral

scoring (when the music is in the presentational space).80 This fore fronting of realistic diegetic

music reflects a set of priorities and beliefs that Zhao Jiping learned from his father from a very

young age, which strongly influence Zhao’s compositional style throughout his career.81,82

Plot

Set in early spring 1939, the film begins with Gu Qing (顧靑), or “Brother Gu” (顧大哥)

as he later introduces himself. He is shown walking through the open, somewhat barren expanses

of the yellow earth plateau of northern Shaanxi province, on a mission for the Red Army to collect

local songs to re-write and use to inspire the communist troops. He finds himself later at a rural

village, arriving as a wedding procession and ceremony are ongoing. Brother Gu is invited to sit

and eat with the village as they feast to celebrate the wedding, and he joins them at one of the

80 Zhao Jiping has training in both European and Chinese musical traditions, especially the music traditions native to

the region of China around Xi’an where he spent much of his life. See Miller, Zhao Jiping, as well as the CCTV mini-

documentary《人物》 “為時代而歌 趙季平“. 81 Zhao discusses his belief in the importance of fore fronting the lived experiences of the common people, or

laobaixing (老百姓), as well as the influence his father played in instilling these values in him from a young age.

Again, see Miller, Zhao Jiping, as well as the CCTV mini-documentary 《人物》 “為時代而歌 趙季平”. 82 Zhao Jiping’s use of local music styles and his interest in the lives of ordinary people frequently appear in

Mandarin-language publications on his music. See Huang, Shizhi 黃世智. “Minzu wenhua yuansu de qiaomiao

yunyong – lun guishipian ‘Dahong denglong gao gao gua’ zhong jingju de zuoyong” 民族文化元素的巧妙運用—

—論故事片《大紅燈籠高高掛》中京劇的作用 [Ingenious use of National Cultural elements – On the role of

Peking Opera in the feature film “Raise the Red Lantern”]. Dianying pingjie 電影評介 17 (2013): 18-22; Wang, Lin

王琳. “Difang xing yinyue yuansu zai Zhao Jiping shengyue zuopin zhong de yingyong fenxi” 地方性音樂元素在

趙季平聲樂作品中的應用分析 [Analysis of the application of local musical elements in Zhao Jiping's vocal

works]. Yinyue chuangzuo 音樂創作 4 (2017): 102-104; Zhang, Lihua 張麗華. “Minyue zai dianying peiyue zhong

de biaoyi gongneng fenxi - yi Zhao Jiping wei Chen Kaige ‘Bawang bie ji’ peiyue wei li” 民樂在電影配樂中的表

意功能分析—以趙季平為陳凱歌《霸王別姬》配樂為例 [Analysis of the ideographic function of folk music in

film music – Taking Zhao Jiping’s score for Chen Kaige’s ‘Farewell my Concubine’ as an example]. Huanghe zhi

sheng 黃河之聲 21 (2016): 105.

40

tables. As they eat, a beggar walks among the tables singing, prompting Brother Gu to take notice

and pull out his notepad to take notes.

As Brother Gu’s accommodations are shown with a local family (the Father, an older

daughter Cuiqiao [翠巧], and a younger son Hanhan [憨憨]), the discussions between Brother Gu

and the father begin to outline the sordid life of women and daughters in this rural village. The

marriage ceremony which helped open the film was between a girl no older than 14, and Brother

Gu’s host makes it clear that the value of a daughter is in their marriage. Brother Gu mentions the

more progressive view of women in society that is spreading in the south (of China), where women

are free to choose whom they marry and when, prompting the host to question the worth of these

women. All while Brother Gu and his host are talking, Cuiqiao works quietly in the background,

clearly listening to the stories of women and daughters with agency to decide their own lives.

This rural, traditional servitude is contrasted with a more modern, communist-associated

emancipation of women and girls throughout the film, as Brother Gu stays with the family. He

assists the family with plowing the fields, and repairing clothing, and all the while Cuiqiao hears

more and more about the freedoms that exist with the Red Army, and the changes that are

happening outside of her village. The tension builds in Cuiqiao as she contemplates a life of choice

and freedom with the Red Army, and as the months pass, Brother Gu eventually has to return to

the Red Army, having collected local songs he had been studying while staying with the family.

Cuiqiao takes this chance to ask to leave with him to join the army, but Brother Gu stipulates that

he must get permission from his superiors before allowing her to join, prompting an agreement

that he would return in the spring of the next year to come get her. Cuiqiao is left in the village,

with an impending marriage to a much older man on the horizon, and only Brother Gu as hope for

her escape.

41

As the winter stretched on, Cuiqiao is married off, and moves out of the family household.

Her misery at the prospects of her future is clear, and in a brief encounter with her younger brother

Hanhan as he collects water from the Yellow River, she tells Hanhan that she is running away

from the marriage. She outlines her plan to row a boat across the powerful Yellow River to seek

out a detachment of the Red Army that is stationed somewhere on the other side, and tells Hanhan

that she feels this is her only choice, unsure if Brother Gu will ever return or will return in time for

her. As she takes off in a boat onto the water, she sings of her plight and her struggles and hopes.

Her voice is abruptly cut off, and the rushing of the water in the river grows to fill the scene as

shots of rapids and torrential waters move across the screen. Her drowning is not seen, nor is it

necessarily heard, but the abrupt finality of her end at the hands of the mighty river is hard to doubt.

In the spring Brother Gu returns to the village (presumably with permission for Cuiqiao to

join the army), arriving as the villagers are engaged with a ritual praying for rain to end a drought.

As the masses of people pray together, they eventually are worked up into a frenzy. From the

crowd, Hanhan sees Brother Gu in the distance, and runs to him in desperation. The film ends here,

with Brother Gu (likely) about to learn the news of Cuiqiao’s departure or death.

Establishing the diegesis: Internal diegetic information

The film contains textual information in the form of initial scrolling text which establishes

(presumably) factual diegetic context for the film; visual information such as physical geography

and scenes of rural peasant life; audio information such as music, voices and ambient noise; and

narrative information such as dialogue about events happening outside the initial presentation of

the film.

The initial scrolling text that opens the film reads as such:

42

“In September 1937, the establishment of the United Front against Japanese aggression

forced Jiang Jieshi to acknowledge the status of the Shaanxi-Gansu-Ningxia Border Area.

Because of the persistence of Nationalist local government in parts of central Shaanbei,

despite the cooperation between the Nationalists and the Communists, feudalism was still

deeply entrenched and the people still suffered under heavy oppression. In this ancient land,

the melodies of xintianyou drift the year round… Members of the literature and arts troupe

of the Eighth Route Army formed into teams and fanned out in different directions. They

hoped to find the origins of Shaanbei folksong…” 83

As this text moves slowly across the screen from bottom to top, it is followed by a title

“Early Spring 1939”. This opening text is a crucial point for understanding the diegesis of the film,

as it is the first information about the diegesis presented to the audience. It describes a diegetic

world in language that implies a historical account, framing events with authority. The text is

presented as part of the presentational space, not the diegetic space, being unattributed to any actor

within the diegesis, and so speaks with directorial authority instead of the subjective view of a

character. This tone and authority with which the information is presented lends weight to the truth

of what is said, and combined with its introductory placement within the film, means that the

audience would likely be extremely receptive to the information contained within the message.

The message itself describes specific historical periods in time and in place, as well as

political dynamics and large scale events (such as the Japanese invasion of China), that all exist in

83 McDougall, The Yellow Earth, 175-176.

43

reality.84 These locations and times are verifiably true, and even if some information might be

arguable (the Nationalists’ responsibility for the continuation of feudalism in rural areas would

require a separate discussion), the diegesis is still presented as occurring in a real spatiotemporal

location (Shaanbei) and engaging with real events in said location (Communist and Nationalist

party conflicts, Japanese invasion of China, Communist battle against feudalism in China). If we

are to begin our understanding of the diegesis as being understood in relation to reality, but not

obligated to adhere to reality, then this initial text begins by cementing the diegesis of Yellow Earth

firmly amidst real-world locations, time periods, and events in the Shaanbei region of northwest

China in early spring, 1939.

In regards to visual information about the diegesis, Yellow Earth does not disappoint.

Zhang Yimou is in charge of cinematography for Yellow Earth, and his camerawork has received

awards from critics around the world over the span of many decades, with Yellow Earth being no

exception.85 The film is absolutely filled with slowly panning shots of desolate vistas on the yellow

earth plateau, the geographical feature that dominates the Shaanbei region in China. The wide

expanse of yellow silt is carved through by thousands of small rivulets that feed into the mighty

Yellow River (the colour of silt giving the river its name), and the film contains many shots of the

torrential waters of the river as it winds through the countryside.

In addition to geographical features of the area, the film shows the peasant village where

the film takes place. This includes the homes carved into the dirt hillsides of the region (the region

is famous for this particular style of dwelling), the clothing and style of dress of the people of the

region, and the habits and tasks that the villagers perform. All of these reflect the difficult lives of

84 McDougall leads her translation of the film with a brief contextualizing page, confirming the historical accuracy of

the setting and song-searching practice by the army at the time. The Yellow Earth, 173. 85 Zhang Yimou won Best Cinematography for Yellow Earth at both the Golden Rooster Awards and Nantes Three

Continents Festival.

44

rural peasants in the area, as well as the endemic poverty in the region.86 In interviews, Chen Kaige

and Zhang Yimou describe their journey to the region for filming, and their desire to shoot

everything on site in order to properly depict the natural setting, as well as the look and feel of the

lives of the people of the region.87 From these visuals, the geographical region introduced by the

initial text is reinforced using real shots of the region, and the visual depiction of peasant life,

emphasizing the paucity of resources available and the difficulty of the life which they are enduring,

reinforces the real needs and struggles of people who live there. There are clear depictions of the

real struggles of having enough food, sourcing water many miles away, the difficulty of keeping

warm, and many other day-to-day struggles that would dominate the lives of the rural poor in

Shaanbei during this period in history.

The non-musical sounds of the diegesis also reinforce the realism of the diegetic setting.

The soundtrack for the film uses a wide variety of ambient and material noises. Visual shots of the

geography of the region are often accompanied by howling winds, constructing an affect of

emptiness and vastness that reinforces the visuals. The Yellow River’s appearance on screen is

accompanied with the sounds of running water, and this trend continues throughout the film, with

the ambient noises of the geographical location being prominently set within the scenes. The

material sounds of the actors and their actions are also very audible, which further establishes a

sense of material “realness” where actions create audibly tangible results in the soundscape.

Footsteps, idle chatter, the crackling of fire, and other ambient and material elements of the

diegesis are included in the soundtrack, adding dimension to the diegetic setting by anchoring as

86 McDougall, in The Yellow Earth, documents the fieldwork done by the production crew of Yellow Earth on site in

northern Shaanxi province. Extensive footage, recordings, and documents were taken in order to be able to attempt to

create a film that accurately reflected both the physical landscape of the region as well as the lives of the people who

lived there. 87 Zhang Yimou, interview by Kwok-Kan Tam. In Zhang Yimou: Interviews. Edited by Frances Gateward. Mississippi:

University Press of Mississippi, 2001, 104-105.

45

many elements as possible within a logical diegesis that mirrors the audience’s real experience,

where footsteps on gravel crunch, and firewood pops and crackles as it burns.

In addition to these sounds, the narrative of the film also remains generally within the

bounds of reality (given the diegetic setting). From my (audience) perspective as a researcher from

Canada, having engaged deeply with English-language materials on film’s diegetic setting, the

actions and personalities of the characters do not at any point seem unrealistic. This is not to say

that every part of the film narrative is fully in line with reality and historically accurate, but rather

that the actions, motivations, and relationships of the characters all generally appear reasonable

from an audience perspective. There are rarely any moments that would make the audience

question the realism of the diegetic setting, and the moments that do still make sense in the context

of a film, if not the diegetic setting.

This combination of textual, visual, aural, and narrative information presented by the film

work together to construct a diegesis that is firmly rooted in the reality experienced and understood

by the audience. Specific historical times and geographic locations are described, depicted, and

explored in the film, while realistic narratives and events occur in the setting. Yellow Earth presents

a fundamentally realistic view of its diegesis, providing the audience with a solid understanding

of the diegetic world with which to interpret and understand the film.

Establishing the diegesis: External diegetic information

Although Yellow Earth provides detailed information about the diegetic world, there are

additional external sources that can be used to further expand the diegesis. Considering the diegesis

is anchored so firmly within a real-world time and place, it is fully reasonable to assume that any

factual information about the Shaanbei region, such as cultural, historical, or geographical

46

information, can be logically considered to exist within the diegesis as well unless there is an

explicit contradiction presented in the film. Since the inclusion of all relevant external information

to the time and place of the diegesis is nearly impossible, what this means is that when questions

arose regarding the nature of the diegesis, the reasonable course of action to find a solution was to

seek out verified information on the topic through traditional channels such as books, academic

publications, documentaries, interviews with members of production, etc. A diegesis that is firmly

anchored in a real time and place means that factual information about said time and place can be

logically extended to the diegesis.88

Diegetic Music

Now that there is a preliminary understanding of the diegesis, the diegetic music can begin

to be characterized. The first place to start in constructing an understanding of the diegetic music

is with the visualized diegetic music.

Visualized Diegetic Music: Instrumental

The first type of visualized diegetic music presented to the audience is the instrumental

music performed during the marriage ceremony that helps open the film. Appearing around 3:15

into the film, this processional chuishou ensemble comprised of suona and percussion winds its

way across a crest of hills. The scene forefronts the musicians, with no dialogue taking place, and

the sounds of the instruments mixed very loud for the audience. The visual shots also emphasize

the instruments in particular, giving special attention to both the suona and the percussion

instruments as the film provides close up shots of the individual instruments. The music being

88 This does not mean that information can logically be extended wholesale, but that factual real-world information

provides a useful starting point for understanding events and aspects of the diegesis.

47

played was music typical of chuishou ensembles, and would normally be heard for special events

such as a marriage (as depicted in Yellow Earth) or a funeral.89

This opening scene of the chuishou ensemble provides for the audience an immediate and

clear depiction of what the music of the diegetic space sounds like. The music is visually anchored

in the hillsides of Shaanbei, and the relationship between what is heard (the music) and what is

seen (the performers) is emphasized through a series of closeups of the performers. Additionally,

the performers are further anchored into the setting of the diegesis later in the scene as they make

their way closer to the village. As the procession moves by, many villagers take a seat on the dusty

hillside to observe and enjoy the fanfare. This is further engagement of diegetic characters

acknowledging and interacting with the music, cementing its location in the diegesis.

One of the less convincing aspects of the anchoring of this processional music in the

diegesis is the aural component. Although the instruments used and the style of music being played

were shot with great loyalty to local traditions and practices, the sound production for the chuishou

ensemble is not necessarily realistic to the environment being depicted. Although the volume of

the ensemble begins quiet when seen in the distance, and slowly increases in volume as the

ensemble draws nearer (mimicking reality), there isn’t further treatment of the sound to represent

distance more accurately. This could have included a reduction in higher frequencies at a distance,

with them gradually increasing in proportion to lower frequencies as the procession drew “closer”.

This would imitate the tendency of higher frequencies to travel shorter distances. In addition, the

clarity of the sound and uniformity of the reverb without any discernible delay implies a stationary

sound source that is in a constant “room” or physical space. This is contrary to the depicted

ensemble moving across wide open spaces and through the bottom of valleys, two environments

89 For further information on chuishou ensembles and use of suona, see Jones, Ritual and Music of North China

Volume 2.

48

that would have distinctly different acoustics. The reason for the lack of realism in sound

production and mixing here could be for many reasons. One is that interviews have shown that

Chen Kaige had little experience and knowledge regarding sound design and sound production,

and may have easily overlooked this aspect while producing the film.90 Additionally, it has been

noted that there were many technical limitations encountered by the production team as they

attempted to film onsite in Shaanbei. Because of this, they were unable to do a proper recording

of audio as they shot, and had to rerecord the audio and music in studio when they returned to

Xi’an to finish editing and production.91 This would account for the acoustical treatment of the

chuishou recording, which quite likely is the natural acoustics of the recording studio in which

they performed in Xi’an, with some basic mixing and editing for clarity purpose. Finally, another

possibility for the lack of spatially realistic sound production might be because clarity was desired

for such important music (important for establishing the sound of the diegesis). Artificially

creating an acoustic environment that mirrored what is seen on screen would reduce the clarity of

the audio as certain frequency ranges would be reduced or removed, and additional acoustic effects

applied. Any of these three reasons provide possible explanations for the lack of spatially realistic

audio production, and regardless of the reason why, I believe that the multitude of evidence

anchoring this music within the diegesis provides ample evidence that the music is located within

the diegesis, regardless of some discrepancies of audio mixing and production.

It is also worth noting that there is no ambient or material sound being played while the

chuishou ensemble performs. There are no sounds of the procession moving such as footsteps, or

the sounds the donkeys might make, and there no sounds made by the villagers as they appear

alongside the procession to watch. Again, the decision to not include ambient sound here might be

90 McDougall, The Yellow Earth, 46. 91 McDougall, 47.

49

for the purpose of musical clarity or limitations on being able to overdub additional audio without

creating an overly “busy” soundtrack.

Presenting diegetic music so early in the film ensures that the audience has established an

understanding of the music of the diegesis as soon as possible. It also might imply that music is

central, or at least important, to the people presented in the diegesis, given its preferential treatment

as the sole fixture of a scene so early in the film, as well as the gleeful reception of the music by

the villagers.

Although the two processional scenes provide the majority of the visualized diegetic

instrumental music, there are instances with a solo suona is also presented playing, such as at 6:35

and 65:15. The treatment in these couple instances is identical to the treatment given to the

chuishou ensemble as whole, with explicit visualized playing of the suona, with the sound

production and treatment being not quite realistic in the creation of an acoustic space.

There is also a drum and dance troupe with suona presented near the end of the film, around

67:30 in the film. This visualized scene of performers and dancers provides a depiction for the

audience of how the local musical traditions might be used in the context of the Red Army.92

Similar instruments are depicted to what was seen in the chuishou ensemble, with clear shots of

the performers playing along the music being heard, visually anchoring the music within the

diegesis. This music is also anticipated by the narrative of the film, as Brother Gu had previously

mentioned the desire of the Red Army to repurpose folk music for use to inspire the Red Army

troops. Although Brother Gu had been referencing folk singing for the purpose most explicitly, the

logical extension that local instrumental traditions would be used as well is not unreasonable to

assume. This music is therefore logically anchored within the setting, as the Red Army repurpose

92 Mcdougall notes the historical practice of utilizing folk traditions in mobilizing peasants. The Yellow Earth, 173.

50

another musical tradition to suit their purposes. Once again, the acoustic space created through the

audio production and mixing is not realistic to the depicted scene, but likely clarity and technical

limitations drove that decision.

Visualized Diegetic Music: Vocal

In addition to the highly visible and highly anchored chuishou ensemble music presented

at the beginning of the film, there are also many occurrences of visualized folk singing as well.

The first instance of visualized folk singing is the beggar singing around 8:50 at the wedding feast.

As the beggar sings, again the ambient noise is faded out so as to forefront the music (as well as

to likely reduce overall busyness and noise). The singing is clearly visually anchored in the scene,

as the beggar’s mouth is visible onscreen as he sings, clearly showing him as the producer of the

sound. The style of singing is also authentic to the region, being the product of extensive interviews

and research done by the production team of the folk singing in the region, and the singer himself

being a singer of reputation in the region outside the context of the film.93 Additionally, Brother

Gu and other characters in the scene are shown to react to the music, further anchoring the music

as an active and engaged element of the diegetic space.

Similarly to the processional chuishou music mentioned earlier, there is some discrepancy

between realistic acoustic space and what is heard in the audio mixing and production. Although

the sound source is much more static here, and so a static treatment of acoustic space is more

realistic, the fact that it is set in a busy eating area filled with people talking and eating would

imply that the clarity of the singing would be at least somewhat obscured by the ambient noise of

93 To be specific, the singer who recorded the audio of the folk singing heard in the film is He Yutang (贺玉堂), who

was met by Chen Kaige and the film crew when interviewing singers from around the region of Shaanbei in the search

for songs for the film. Mcdougall, The Yellow Earth, 31.

51

the room. The removal of ambient noise when the singer begins seems to likely again be for

clarity’s sake, ensuring that the audience can experience the music more fully. In addition to

considering clarity, the same considerations of technical limitations and sound design experience

mentioned in regards to the instrumental also might apply in this situation. The singing is presented

in as clear a manner as possible, given reasonable consideration for limitations, while still ensuring

that it clearly belongs within the diegetic space presented. This particular instance of singing is

also very early in the film, similar to the chuishou procession. For similar reasons then, it can be

understood that this would also contribute to a very early formation of the audience’s conception

of the music of the diegesis.

In addition to the beggar’s singing, other individuals as visualized singing within the

diegesis as well throughout the film. Cuiqiao at 22:30, Hanhan and Brother Gu at 40:45, and

Cuiqiao’s father at 51:35, all sing directly onscreen, with themselves being clearly signaled as the

source of the singing. These moments of song are treated similarly to the beggar’s scene, including

the fore fronting of the music and the particular style of audio mixing and production. However,

although each of these moments are very important regarding the narrative of the film, I believe

that the beggar’s singing (similarly to the chuishou ensemble) is likely the most impactful on the

audience’s construction of the musical-diegetic space due to the presence of the scene so early in

the film.

Acousmatic Diegetic Music;

Yellow Earth has numerous instances of diegetic music where the source is not immediately

visible within the diegetic scene. The very first footage of Shaanbei in the film is accompanied by

the distant singing of an unknown person, witnessed and noted by Brother Gu, the voice

52

reverberating off of the hillsides. Cuiqiao’s singing near the end of the film, around 60:25, is

similarly treated. Although Cuiqiao is clearly the source of the sound, since her dialogue shows

that she is wanting to sing for Brother Gu as he departs, she is not visibly seen to be singing in any

of the scenes presented in the film. Both of these instances show a particular type of sound

treatment of acousmatic music that differs from the treatment of visualized music.

Although the acousmatic music in Yellow Earth is faithfully authentic to the diegetic setting

in regards to style (which follows Chion’s assertion that acousmatic music should mimic visualized

music if the listener closes their eyes), there is a difference in regards to the sound production of

acousmatic music. In both these examples I bring up here, the distant singing at 2:30 and Cuiqiao’s

distant singing at 60:25, the singing occurs in tandem with ambient sounds of the environment (the

howling of the winds). This contrasts directly with the treatment of the visualized diegetic music,

where the ambient noise is cut from the audio while the music or singing plays in order to forefront

it more clearly. Instead, these acousmatic performances battle against the ambient sounds of the

landscape.

Additionally, the audio mixing and processing is different. Generous use of delay and

reverb, to an excess that challenges a “realistic” interpretation, emphasize and lean in to the

physical acoustic space surrounding the singers. The reverberation and delay imitate how the voice

would echo and bounce off of the cliffsides and terrain of Shaanbei depicted on film. This shows

a clear awareness of some kind that the acousmatic music is to be presented differently than the

visualized music to the audience. One effect of this type of audio mixing and production is that it

more firmly anchors the music in the diegetic space by more accurately representing the physical

landscape. This perceptually helps offset the loss of visual cues anchoring the music to the diegesis

but creating a stronger audio anchor.

53

Overall, the diegetic music of Yellow Earth is established most clearly and most solidly in

the opening scenes of the film. The visualized chuishou ensemble, and the visualized beggar

singing, both present instrumental and vocal music that is visual, aurally, and logically anchored

within the time and place of the diegesis. Additionally, acousmatic music is usually presented with

an increased amount of aural anchoring within the diegesis, likely to offset the lack of visual

anchoring that serves as the main anchor of the visualized music. The diegetic music composed by

Zhao Jiping remains loyal to the real-world spatiotemporal setting from which the diegesis draws

its inspiration.

Presentational Music

The presentational music in Yellow Earth is most easily characterized by the use of an

orchestra to accompany melodic material that “sounds” like it could originate in the diegesis. The

melodic material, such as played during the initial scrolling text or shots pan across the landscape

at 38:05, is usually played by a solo instrument. Over the course of the film, string instruments

(likely erhu), woodwinds (perhaps xiao, and at times certainly the suona), and even plucked

instruments (perhaps related to pipa), all take turns playing melodic material that is not visually,

aurally (although there is occasional reverb added), or logically contained within the diegetic scene

at that moment. However, the melodic material is frequently drawn from the diegesis, usually

fragments of the “Nü’er Ge” sung by Cuiqiao. 94 This quotation of diegetic music, and the

prominent role that the suona in particular has in playing these quotations in the presentational

space, create a link between the diegetic and presentational spaces. There is at times shared

melodic material, and at times shared instrumental and stylistic elements, which helps bring

94 Xiao, China in the Mix, 37.

54

together the two discrete spaces while still keeping them distinct due to an unambiguous lack of

logical and visual anchoring with the presentational music.

This melodic material that is used in the presentational space is also frequently

accompanied by a full (likely European) orchestra. While this orchestral music has been criticized

by some, it is featured prominently in the presentational space of Yellow Earth.95 It can initially

appear almost jarring to hear a full orchestra, given the general musical loyalty to the diegetic

setting. However, this orchestra place makes more sense in the film when considering some factors

external to the film itself.

Chen Kaige mentions in an interview that the decision to use orchestral scoring was to

appeal to perceived audience tastes around the time of the film’s release in 1984.96 This impression

of audience tastes was likely informed by the influx of foreign films that began appearing in China

post 1976, since the orchestral scoring in Yellow Earth would be familiar to most audiences with

an ear for “Western” cinematic scores. Additionally, the use of the orchestra to accompany the

melodic material can be understood in the context of Zhao Jiping specifically.

Zhao’s experience with both European and Chinese instruments is a result of the training

he received in both traditions throughout his education, as well as his experience working on the

production of Model Operas after 1971. He was involved in the production of many Model Operas

following his graduation in 1971, including over a hundred productions of Hong Deng Ji.97 These

Model Operas were a form of Beijing Opera, a staged production with music, that was developed

in China under Mao as an art form that could be used as a vehicle to disseminate party ideology to

95 McDougall, The Yellow Earth, 110; Xiao, China in the Mix, 37. 96 McDougall, The Yellow Earth, 46. 97 CCTV documentary, 《人物》 “為時代而歌 趙季平”, 14:10.

55

the masses.98 It was seen as both an educational and artistic tool, with the mass participation in

production and almost mandatory attendance for many of China’s citizens, especially during the

Cultural Revolution (1966-1976). As the Model Operas played a central role in the ongoing

revolution in China, there was strong centralized influence on their production, which included the

music. Although there is much difficulty is finding accurate compositional attribution for many

Model Works, the role of Yu Huiyong is central to the particular style of orchestration used in the

Model Works.99

Yu Huiyong was the major proponent of a new style of music writing for staged works that

formed the framework for many of the Model Operas. Yu Huiyong sought to take advantage of

particular timbral qualities and dynamic ranges of both Chinese and European instruments, and

sought to create mixed instrument ensembles for performances. Eventually, the formula that began

to be popularized was the mixture of Chinese melodic and rhythmic instruments with the support

of a European orchestra for harmonic texture and colour. This particular combination allowed for

the expression of Chinese melodies and character in the melodic and rhythmic sections, which

European instruments playing only supporting roles, which would forefront the Chinese

elements.100

98 The term Model Opera can be substituted with Revolutionary Opera, Model Work, or other appropriate terms,

depending on differing English translations of yangbanxi (樣板戲), literally model or template (樣板) + play or drama

(戲). 99 For more on Model Operas, see Clark, Paul, Laikwan Pang, and Tsan-Huang Tsai. Listening to China’s Cultural

Revolution: Music, Politics, and Cultural Continuities. New York, NY: Palgrave Macmillan, 2016; Clark, Paul.

“Model Theatrical Works and the Remodeling of the Cultural Revolution,” in Art in Turmoil: The Chinese Cultural

Revolution 1966-1976. Edited by Richard King. Vancouver, BC: UBC Press, 2010; Fan, “Fresh Yet Familiar: Music”;

Ludden, Yawen. “China’s Musical Revolution: From Beijing Opera to Yangbanxi.” PhD diss., University of Kentucky,

2013. 100 For more on Yu Huiyong, see footnote number 12 in addition to Ludden, “China’s Musical Revolution”; Ludden,

Yawen. “Making Politics Serve Music: Yu Huiyong, Composer and Minister of Culture.” TDR (1988-) 56, no.2

(Summer 2012): 152-168

56

In this style of Model Opera music pushed by Yu Huiyong, you could hear Chinese

melodies played by Chinese instruments, with harmonic texture and colour added in with a

European orchestra. This style would very likely been encountered many times over by Zhao

Jiping as he assisted in the production with numerous Model Works over the years in Shaanxi

province in the 1970s. It would have also been a style that he would have felt comfortable writing

in, considering his experience with both European and Chinese musical traditions and his

experience with Model Works.

This style of Chinese musical character and European musical support is extremely similar

to the presentational music in Yellow Earth. The film uses melodic material influenced either

stylistically or instrumentally by the diegesis, which is then supported texturally and harmonically

by the full orchestra. Not only is this a style that Zhao Jiping would be comfortable and able to

compose in, it would be a style of music familiar to much of the audience in China, considering

that Yellow Earth was released less than a decade after the end of the Cultural Revolution.

The presentational music of Yellow Earth is largely this particular style of mixed ensemble

and mixed tradition scoring, with diegetically related melodic content and supporting orchestration

that is best understood as a product of the particular social, historical, biographical, and cultural

context that the film was released in. It provides an audible contrast to the music of the diegesis

due to the lush orchestration that accompanies the melodies, while still remaining related to the

diegetic music through its use of melodic material and instrumentation that is at least adjacent to

the diegesis.

57

Other Music (The Fantastical Gap and others):

With the diegetic and presentational spaces characterized in regards to music, further

exploration can be done of instances that might fall in the so-called Fantastical Gap, or at least

instances that don’t easily fall into either the diegetic or presentational spaces. Although there are

many instances of nuanced play with the perception of musical space, arguably the most significant

from both an analytical perspective and perhaps the audience perspective are the “river scenes”

where Cuiqiao sings on the riverbanks of the Yellow River. There are multiple instances of the

river scene throughout the film (at approximately 12:10 and 38:30, although there are multiple

allusions to the scene at other points in the film), however the first occurrence strikes the most

dramatic moment with noticeable play with the audience’s perception of diegetic and

presentational musical spaces.

The scene begins with the visuals and audio affirming the diegetic context. As the Yellow

River is shown in the context of the arid landscape of Shaanbei, the sounds of the river are the only

audio presented. As the camera pans across the river, labourers are scene working alongside the

riverbank, and you can hear the rhythmic chants as they work. The chanting appears alongside the

sounds of the river, and although the sounds of rhythmic chanting can be presumed to be coming

from the labourers on the riverbank, the connection between them is rather tenuous. The labourers

are seen from a distance, and there is no visual confirmation of them as the source of the voices,

nor is their labour synchronized with the chanting in any way explicit enough to suggest that the

rhythmic chanting coincides with their actions.

This chanting begins the process of detaching the audio of the moment from the diegesis,

and begins the shift towards the presentational space. While the ambient sounds of the river at the

beginning of the scene help emphasize the diegetic setting, the subsequent entrance of the rhythmic

58

chanting (with its tenuous connection to the diegesis) begins to unanchor some of the moment

from the diegesis, and the audience’s sense of grounding begins to float free.

As the scene progresses, the chanting continues and the sounds of the Yellow River

continue in the background. A quick cut and Cuiqiao appears onscreen, and you both hear and see

her bend over and scoop water into a bucket. While Cuiqiao has not yet made a sound herself, the

bucket’s entrance into the water and motion through it produces splashing in a realistic manner,

providing again another diegetic anchor alongside the ambient sounds of the river, all while the

chanting continues and destabilizes an auditory sense of location.

Approximately 30 seconds into the scene, an orchestra enters into the soundtrack, playing

lush romantic chords as an introduction into a musical moment. This orchestra, which sounds

European both in style and in instrumentation, appears as an explicitly presentational piece of

music seemingly fully outside the musical landscape of the film that had been previously

established. Prior to this moment, the audience had heard exclusively music of Shaanbei, be it folk

singing or chuishou ensemble, and the music had occurred exclusively within the diegesis.101 The

entrance of a full European orchestra in this moment conversely enormously with the previously

established sense of music in the film, which coincides with being the first unambiguously

presentational music.

The entrance of the orchestral music at the river scene joins the ambient sounds of the river

and the chanting of the labourers in shifting the audience’s sense of music (and audio) location

within the diegetic or presentational space. As the diegetic space is initially emphasized with the

ambient sounds of the river water, the labourers begin to subvert the sense of space through their

101 There is the odd exception of the music playing as text scrolls onscreen at the very outset of the film, but this music

provides only a brief moment of music before the diegesis is presented to the audience. This music is possibly present

to ensure there isn’t full silence as the text appears, however it also serves to provide a small insight into some of the

timbres of the film’s music at the beginning.

59

tenuous connection with the diegetic action. Acoustically and visually anchored to the setting in

only the most tenuous way, the chanting begins to detach the audience’s sense of space from its

solid anchoring in the diegesis that had been firmly established by the film up to this point. As the

sense of space begins to distance itself from the diegesis, the orchestra enters and presents not only

the first instance of explicitly presentational music, but also an entirely different style of music

(European orchestral music) to the music of the diegesis. The effect of this is dramatic, so much

so that critics question whether or not the music is appropriate for the scene.102

Moments after the orchestra finishes its initial prelude, Cuiqiao joins it by singing the

“Nü’er Ge” (女儿歌). Cuiqiao joins the orchestra in the presentational space as she sings, all while

she physically remains within the diegesis, collecting water from the Yellow River. She sings in

call and response with the orchestra, with the orchestra repeating fragments of her melody and

actively engages with her melody. Her singing is heard clearly and without any audio effects that

would indicate that she is singing by a riverside, and like the instruments of the orchestra, have the

clarity of a studio recording. This contrasts with the fact that Cuiqiao is depicted to be alongside

the Yellow River, engaged in collecting water for the household. Her physical presence by the

riverside is emphasized by the fact that the sounds of the river and the water continue to play in

the background alongside her singing and the orchestral music, acting as a reminder of the diegetic

location. The sounds of the diegesis continue, and although there is no proper acoustic anchoring

of Cuiqiao’s singing in the scene, nor is there visual anchoring (she is not seen to be singing at any

point), there is still the implication that this scene presents some form of labour song similar to the

chanting of the labourers from the beginning of the scene. While the presentational music takes

the forefront of the scene, the diegetic setting does not disappear, and asserts itself in subtle ways

102 See footnote number 91.

60

throughout the scene by inclusion of water sounds and the visual-narrative plausibility of this being

a song that Cuiqiao sings to herself as she does her chores.

As the scene comes to a close, the music and audio provides a gradual return from the

presentational to the diegetic space. Following the brief climax of the song between Cuiqiao and

the orchestra, the orchestra recedes and slowly disappears completely as Cuiqiao sings her final

verse. The final verse already begins to convey the sense of being more diegetically anchored as

the orchestra fades and the sounds of the river and creaking wood of the shoulder yoke bearing the

weight of the buckets of water emerge to the forefront of the audio. Eventually, even Cuiqiao stops

singing, and only the creaks and water noises of the ambient environment remain. This gradual

shift from a strongly presentational space filled with orchestral music in call-and-response with

Cuiqiao’s disembodied singing, towards the diegetic space eventually populated only by the

ambient sounds of the river and the wooden creaks of the yoke guides the audience back into the

diegetic space after such a contrasting and dramatic diversion away.

Although the river scene lasts roughly only two minutes, the music and audio (along with

some visual assistance) transports the audience from an explicitly diegetic musical space into the

presentational space, and then carefully back to the diegetic space. Yellow Earth, up until this point

in the film, has presented a strongly diegetically anchored setting for the music, with frequent

visual, acoustic, and narrative anchoring in the scenes. Because of this strongly diegetic setting,

the shift into the presentational space in the river scene is especially dramatic by contrast. Despite

the extremity of the contrast, the scene takes the time to untether the audience from the diegetic

space through the use of ambient noises and ambiguously anchored chanting from the labourers

alongside the river, preparing the way for the dramatic entrance of the orchestra fully in the

presentational space. Similarly, the return to the diegetic space is also prepared for the audience,

61

with the gradual removal of presentational elements until all that is left to be heard is the ambient

diegetic noise of the scene.

This river scene exemplifies Zhao Jiping’s engagement (and Yellow Earth’s more broadly)

with diegetic and presentational music spaces within the film. Observed as a scene in isolation, the

river scene presents a tactful and dramatic usage of various musical and audio elements to prepare

a shift from the diegetic to the presentational, and then to return back with similar care. In the

context of the film at large, the scene’s shift is felt to be even more dramatic given the

establishment of an explicitly diegetically realistic musical setting in prior scenes. The moment of

emotional profession by Cuiqiao as she sings of her fate as a rural, poor, woman is heightened by

the accompaniment of such a dramatic shift between musical spaces.

62

Chapter 5: Conclusion

Zhao Jiping’s score for Yellow Earth has musically distinct characterizations for the

diegetic and presentational spaces. The film begins with an almost immediate depiction of

visualized diegetic music, both instrumental and vocal. This immediate characterization, which

follows the scrolling introduction text and the shots of Shaanbei as they establish the diegesis,

provides for the audience a distinct and concrete understanding of the musical sound of the diegesis,

which is accurate to the real-world time and place depicted in the diegesis. As the movie progresses,

the audience begins to form a sense of the presentational music through scenes which have melodic

material loyal to the diegesis, while being harmonically and texturally supported by a full orchestra.

This style of European orchestra providing harmonic textural support to Chinese melodies and

lead instruments reflects both trends external to the film, and Zhao Jiping’s distinct musical

education and background. These two musical characterizations, of regional Shaanbei music for

the diegetic space and diegetically-anchored melodies supported by a European orchestra for the

presentational music, provide distinct identities for the two spaces.

Despite the distinct characterizations of the diegetic and presentational spaces, Zhao Jiping

blurs the boundaries between them and actively shifts perceptions of space at narratively

significant moments. Most clearly on display during the river scenes, the audience’s sense of space

is shifted from the diegetic to the presentational first through the use of acousmatic sound to

destabilize the previously firm anchoring in the diegetic space. As the audience’s sense of location

in the diegetic space is undermined, Cuiqiao’s singing combines with an orchestra firmly in the

presentational space, causing a dramatic shift in the audience’s perception of musical space.

Following this shift, the audience is guided back to the diegetic space through the gradual removal

63

of presentational elements, coming to rest firmly anchored in the diegetic space with ambient

diegetic noise.

The audience’s perceptual journey from the diegetic to the presentational and back again

is guided by the musical scoring, which coincides with and amplifies the narrative significance of

the scene. Zhao Jiping carefully guides the audience through different perceptions of locality using

musical elements derived from the diegetic setting, fully presentational orchestral scoring, and the

integration of ambient noise to emphasize the presence of the diegesis. All of these techniques

display a nuanced awareness of the audience’s perception of musical space, and Zhao Jiping’s

music guides the audience throughout the river scene.

Zhao Jiping’s score forms an integral part of Yellow Earth, and contributes significantly to

the effectiveness of the film’s presentation. The score, as demonstrated in the river scene, actively

supports and works with the narrative at moments of significance to amplify the presentation of

the scene. In the integrated system of a film, all the various elements that comprise the film work

together to shape the audience’s experience of the film, and as such the music of the film should

receive consideration and discussion along the lines of existing discussions regarding narrative,

cinematography, and other factors.

With how significant Yellow Earth has been for the global reputation of Chinese cinema,

especially at international film festivals, Zhao Jiping’s role in the film’s success needs to be

addressed. This thesis serves as a study of Zhao Jiping’s effective use of musical spaces in Yellow

Earth, and how he manipulates audience perception of space to create moments of dramatic

contrast in support of narratively significant scenes. However, Zhao Jiping has scored dozens of

other films, many of which have received as much as or even more critical acclaim than Yellow

64

Earth. His scores, being important parts of the integrated system of the films in which they occur,

deserve further inquiry and study in line with discussions of other filmic elements.

65

Bibliography

Audissino, Emilio. Film/Music Analysis: A Film Studies Approach. Edited by K.J. Donnelly.

London, UK: Palgrave Macmillan, 2017

Bordwell, David. Narration in the Fiction Film. Madison: University of Wisconsin Press, 1985.

Buhler, James. Theories of the Soundtrack. New York, NY: Oxford University Press, 2019

Chen, Kaige, dir. Yellow Earth. 1984; China: Guangxi Film Studio.

Cheung, Joys Hoi Yan. “Chinese Music and Translated Modernity in Shanghai, 1918-1937.”

PhD. diss. University of Michigan, 2008.

Chion, Michel. Audiovision: Sound on Screen. Edited and translated by Claudia Gorbman. New

York: Columbia University Press, 1994.

Clark, Paul. “The Film Industry in the 1970s.” In Popular Chinese Literature and Performing

Arts in the People’s Republic of China 1949-1979. Edited by Bonnie S. McDougall.

Berkeley, CA: University of California Press, 1984.

Clark, Paul. “Model Theatrical Works and the Remodeling of the Cultural Revolution,” in Art in

Turmoil: The Chinese Cultural Revolution 1966-1976. Edited by Richard King.

Vancouver, BC: UBC Press, 2010

Clark, Paul, Laikwan Pang, and Tsan-Huang Tsai. Listening to China’s Cultural Revolution:

Music, Politics, and Cultural Continuities. New York, NY: Palgrave Macmillan, 2016

Cleary, Linda Miller. Cross-Cultural Research with Integrity: Collected Wisdom from

Researchers in Social Settings. New York, NY: Palgrave Macmillan, 2013

66

Court, Deborah. Qualitative Research and Intercultural Understanding: Conducting Qualitative

Research in Multicultural Settings. New York, NY: Routledge, 2018

Fan, Xing. Staging Revolution: Artistry and Aesthetics in Model Beijing Opera during the

Cultural Revolution. Hong Kong: Hong Kong University Press, 2018

Gorbman, Claudia. Unheard Melodies. Bloomington, Indiana: Indiana University Press, 1987

Heldt, Guido. Music and Levels of Narration in Film: Steps Across the Border. Chicago, IL: The

University of Chicago Press, 2013

Hegel, Robert E. “Making the Past Serve the Present in Fiction and Drama: From the Yan’an

Forum to the Cultural Revolution.” In Popular Chinese Literature and Performing Arts

in the People’s Republic of China 1949-1979. Edited by Bonnie S. McDougall. Berkeley,

CA: University of California Press, 1984.

Holm, David. Art and Ideology in Revolutionary China. New York, NY: Oxford University

Press, 1991.

Holm, David. “Folk Art as Propaganda: The Yangge Movement in Yan’an.” In Popular Chinese

Literature and Performing Arts in the People’s Republic of China 1949-1979. Edited by

Bonnie S. McDougall. Berkeley, CA: University of California Press, 1984.

Huang, Shizhi 黃世智. “Minzu wenhua yuansu de qiaomiao yunyong – lun guishipian ‘Dahong

denglong gao gao gua’ zhong jingju de zuoyong” 民族文化元素的巧妙運用——論故

事片《大紅燈籠高高掛》中京劇的作用 [Ingenious use of National Cultural

67

elements – On the role of Peking Opera in the feature film “Raise the Red Lantern”].

Dianying pingjie 電影評介 17 (2013): 18-22.

Jones, Stephen. Ritual and Music of North China, Volume 2: Shaanbei. New York: Routledge,

2016.

Kraus, Richard. “Arts Policies of the Cultural Revolution: The Rise and Fall of Culture Minister

Yu Huiyong.” In New Perspectives on the Cultural Revolution, edited by William A.

Joseph, Christine P. W. Wong, and David Zweig, 119-241. Boston: Harvard University,

1991.

Kulezic-Wilson, Danielja. Sound Design is the New Score: Theory, Aesthetics, and Erotics of the

Integrated Soundtrack. New York, NY: Oxford University Press, 2019

Liu, Ching-chih. A Critical History of New Music in China. Translated by Caroline Mason. Hong

Kong: The Chinese University Press, 2010.

Ludden, Yawen. “China’s Musical Revolution: From Beijing Opera to Yangbanxi.” PhD diss.,

University of Kentucky, 2013.

Ludden, Yawen. “Making Politics Serve Music: Yu Huiyong, Composer and Minister of

Culture.” TDR (1988-) 56, no.2 (Summer 2012): 152-168.

Mackerras, Colin. “Theater and the Masses.” In Chinese Theater: From its Origins to the

Present Day. Honolulu: University of Hawaii Press, 1983.

McDougall, Bonnie. Mao Zedong’s “Talks at the Yan’an Conference on Literature and Art” A

Translation of the Text with Commentary. Ann Arbor: Centre for Chinese Studies,

University of Michigan, 1980.

68

McDougall, Bonnie. The Yellow Earth: A film by Chen Kaige With a Complete Translation of

the Filmscript. Hong Kong: The Chinese University Press, 1991.

Metz, Christian. Language and Cinema. Translated by Donna Jean Umiker-Sebeok. The

Hague: Mouton, 1974.

Miller, Allan. Zhao Jiping. Directed by Allan Miller. 1996. Paris: Les Filmes d’Ici, 2021. DVD.

Mittler, Barbara. A Continuous Revolution: Making Sense of Cultural Revolution Culture.

Cambridge, MA: Harvard University Press, 2012.

Mittler, Barbara. Dangerous Tunes: The Politics of Chinese Music in Hong Kong, Taiwan, and

the People’s Republic of China since 1949. Wiesbaden : Harrassowitz, 1997.

Mittler, Barbara. “The Great Proletarian Cultural Revolution in Music - A View from

Revolutionary Opera.” The Opera Quarterly 26, no.2-3 (2010): 377-401.

Neumeyer, David. “Diegetic/Nondiegetic: A Theoretical Model.” Music and the Moving Image

2, no.1 (2009): 26-39

Neumeyer, David. Meaning and Interpretation in Cinema. Bloomington: Indiana University

Press, 2015.

Ng, Yvonne. “Imagery and Sound in Red Sorghum.” KINEMA, spring (1995)

Renwu “wei shidai er ge Zhao Jiping” (《人物》. “為時代而歌 趙季平.”) Aired September 5,

2015. CCTV, 2015. Accessed January 28, 2022.

https://tv.cctv.com/2015/09/05/VIDE1441385643980301.shtml

Robinson-Pant, Anna, and Alain Wolf. Researching Across Languages and Cultures: A Guide to

doing Research Interculturally. New York, NY: Routledge, 2017

Stilwell, Robynn J. “The Fantastical Gap between Diegetic and Nondiegetic.” In Beyond the

Soundtrack: Representing Music in Cinema. Edited by Daniel Goldmark, Lawrence

69

Kramer, and Richard D. Leppert. Berkeley, CA: University of California Press, 2007,

184-202.

Smith, Jeff. “Bridging the Gap: Reconsidering the Border between Diegetic and Nondiegetic

Music.” Music, Sound, and the Moving Image 2, no.1 (Spring 2009): 1-25

Thompson, Brian C. “Zhao Jiping and the Sound of Resistance in Red Sorghum.” Studio

Musicologica 56, no.4 (2015): 355-366.

Thompson, Kristin. Breaking the Glass Armor: Neoformalist Film Analysis. Princeton, New

Jersey: Princeton University Press, 1988.

Tiburzi, Brian M. “The Fifth Generation: Chinese Cinema’s ‘Great Leap Forward.’” PhD. diss.

University of Missouri - St. Louis, 2007.

Wang, Lin 王琳. “Difang xing yinyue yuansu zai Zhao Jiping shengyue zuopin zhong de

yingyong fenxi” 地方性音樂元素在趙季平聲樂作品中的應用分析 [Analysis of the

application of local musical elements in Zhao Jiping's vocal works]. Yinyue chuangzuo

音樂創作 4 (2017): 102-104.

Winters, Ben. “Musical Wallpaper? Towards an Appreciation of non-Narrating Music in Film.”

Music, Sound, and the Moving Image 6, no.1 (Spring 2012): 39-54.

Winters, Ben. “The Non-Diegetic Fallacy: Music, Film, and Narrative Space.” Music and Letters

91, no.2 (2010): 224-244

70

Wong, Isabel K. F. “Geming Gequ: Songs for the Education of the Masses.” In Popular Chinese

Literature and Performing Arts in the People’s Republic of China 1949-1979. Edited by

Bonnie S. McDougall. Berkeley, CA: University of California Press, 1984.

Xiao, Ying. China in the Mix: Cinema, Sound, and Popular Culture in the Age of Globalization.

Jackson: University Press of Mississippi

Yacavone, Daniel. Film Worlds: A Philosophical Aesthetics of Cinema. New York, NY:

Columbia University Press, 2015

Yacavone, Daniel. “Spaces, Gaps, and Levels: From the Diegetic to the Aesthetic in Film

Theory.” Music, Sound, and the Moving Image 6, no.1 (Spring 2012): 21-37.

Zhang, Lihua 張麗華. “Minyue zai dianying peiyue zhong de biaoyi gongneng fenxi - yi Zhao

Jiping wei Chen Kaige ‘Bawang bie ji’ peiyue wei li” 民樂在電影配樂中的表意功能

分析—以趙季平為陳凱歌《霸王別姬》配樂為例 [Analysis of the ideographic

function of folk music in film music – Taking Zhao Jiping’s score for Chen Kaige’s

‘Farewell my Concubine’ as an example]. Huanghe zhi sheng 黃河之聲 21 (2016):

105.

Zhang, Yimou. Zhang Yimou: Interviews. Edited by Frances Gateward. Mississippi: University

Press of Mississippi, 2001.

“Zhao Jiping,” IMDb, accessed April 15, 2022. https://www.imdb.com/name/nm0947921/